SEC Form 4 · accession 0001011034-15-000094

CONTRAFECT Corp · CFRX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

ERNEST W MOODY REVOCABLE TRUST

10% Owner

Period of report

Sep 9, 2015

Accepted (ET)

Sep 16, 2015 · 3:48 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001478069

Table I — non-derivative securities

No Table I lines on this filing.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B warrants	$4.00	Sep 9, 2015	S	10,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	500,000	490,000	D
Class B warrants	$4.00	Sep 9, 2015	S	25,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	490,000	465,000	D
Class B warrants	$4.00	Sep 9, 2015	S	15,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	465,000	450,000	D
Class B warrants	$4.00	Sep 9, 2015	S	6,333	D	Aug 1, 2014	Oct 31, 2015	Common stock	450,000	443,667	D
Class B warrants	$4.00	Sep 9, 2015	S	5,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	443,667	438,667	D
Class B warrants	$4.00	Sep 9, 2015	S	10,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	438,667	428,667	D
Class B warrants	$4.00	Sep 9, 2015	S	10,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	428,667	418,667	D
Class B warrants	$4.00	Sep 10, 2015	S	100	D	Aug 1, 2014	Oct 31, 2015	Common stock	418,667	418,567	D
Class B warrants	$4.00	Sep 10, 2015	S	844	D	Aug 1, 2014	Oct 31, 2015	Common stock	418,567	417,723	D
Class B warrants	$4.00	Sep 10, 2015	S	1,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	417,723	416,723	D
Class B warrants	$4.00	Sep 10, 2015	S	2,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	416,723	414,723	D
Class B warrants	$4.00	Sep 11, 2015	S	3,746	D	Aug 1, 2014	Oct 31, 2015	Common stock	414,723	410,977	D
Class B warrants	$4.00	Sep 11, 2015	S	10,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	410,977	400,977	D
Class B warrants	$4.00	Sep 11, 2015	S	5,100	D	Aug 1, 2014	Oct 31, 2015	Common stock	400,977	395,877	D
Class B warrants	$4.00	Sep 11, 2015	S	4,900	D	Aug 1, 2014	Oct 31, 2015	Common stock	395,877	390,977	D
Class B warrants	$4.00	Sep 11, 2015	S	5,000	D	Aug 1, 2014	Oct 31, 2015	Common stock	390,977	385,977	D
Class B warrants	$4.00	Sep 11, 2015	S	13,454	D	Aug 1, 2014	Oct 31, 2015	Common stock	385,977	372,523	D
Class B warrants	$4.00	Sep 11, 2015	S	800	D	Aug 1, 2014	Oct 31, 2015	Common stock	372,523	371,723	D
Class B warrants	$4.00	Sep 14, 2015	S	9,500	D	Aug 1, 2014	Oct 31, 2015	Common stock	371,723	362,223	D