SEC Form 4 · accession 0001209191-15-035358
ZEVRA THERAPEUTICS, INC. · ZVRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christal M M Mickle
Officer — VP Operations & Prod Dev · 10% Owner
Period of report
Apr 21, 2015
Accepted (ET)
Apr 21, 2015 · 6:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001434647
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 21, 2015 | C | 5,983 | — | A | 277,094 | D | |
| Common StockF1,F2,F3 | Apr 21, 2015 | C | 96,288 | — | A | 96,288 | D | |
| Common Stock | holding | — | — | — | 1,538,373 | I | By Spouse | |
| Common Stock | holding | — | — | — | 230,812 | I | By Travis C Mickle & Christal M.M. Mickle TRS UA 4-30-09 | |
| Common Stock | holding | — | — | — | 230,812 | I | By Travis C Mickle & Christal M.M. Mickle TRS UA 4-30-09 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF3,F2 | — | Apr 21, 2015 | C | 527,093 | D | — | — | Common Stock | 70,279 | 0 | D |
| Series B Convertible Preferred StockF3,F2 | — | Apr 21, 2015 | C | 6,203 | D | — | — | Common Stock | 827 | 0 | D |
| Series C Convertible Preferred StockF3,F2 | — | Apr 21, 2015 | C | 51,332 | D | — | — | Common Stock | 6,844 | 0 | D |
| Series C Convertible Preferred StockF2 | — | Apr 21, 2015 | C | 44,873 | D | — | — | Common Stock | 5,983 | 0 | D |
| Series D Convertible Preferred StockF3,F2 | — | Apr 21, 2015 | C | 137,541 | D | — | — | Common Stock | 18,338 | 0 | D |
| Warrant to Purchase Series D Preferred Stock (right to buy)F3,F2 | — | Apr 21, 2015 | C | 32,371 | D | — | — | Common Stock | 4,316 | 0 | D |
| Warrant to Purchase Common Stock (right to buy)F3,F4,F5 | $5.85 | Apr 21, 2015 | C | 4,316 | D | — | — | Common Stock | 4,316 | 4,316 | D |
Explanation of responses
- F1The total represents shares received upon conversion of Series A, Series B, Series C and Series D convertible preferred stock.
- F2Effective upon the closing of the Issuer's initial public offering of its common stock, each share of Series A, Series B, Series C and Series D convertible preferred stock automatically converted into 0.133333 shares of common stock. The convertible preferred stock had no expiration date.
- F3Held jointly with spouse.
- F4Represents a warrant to purchase shares of common stock of the Issuer following the conversion of the Series D convertible preferred stock on a 1-for-0.1333 share basis. The number of shares and price per share reported herein reflects such conversion. The warrant is immediately exercisable at any time at the option of the holder.
- F5The warrant expires as of 5:00 p.m. C.S.T. on the earliest of (i) June 2, 2019 and (ii) the effective date of the closing of a Company Sale Transaction (as such term is defined in the warrant).