SEC Form 3 · accession 0000899243-16-029503
Novan, Inc. · NOVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
M. Joyce Rico
Officer — Chief Medical Officer
Period of report
Sep 20, 2016
Accepted (ET)
Sep 20, 2016 · 8:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001467154
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 65,833 | I | By M. Joyce Rico Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF1 | $1.12 | holding | — | — | — | — | Dec 29, 2024 | Common Stock | 6,666 | — | D |
Explanation of responses
- F1The option vests in 36 equal monthly installments on the first day of each month following December 30, 2014.
Remarks
Exhibit 24 - Power of Attorney