SEC Form 4 · accession 0001011034-15-000097
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
Oct 16, 2015
Accepted (ET)
Oct 21, 2015 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001478069
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | holding | — | — | — | 1,000,000 | D |
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 | Oct 16, 2015 | S | 3,500 | A | Sep 9, 2015 | Oct 31, 2015 | Common stock | 269,649 | 266,149 | D |
| Class B warrants | $4.00 | Oct 19, 2015 | P | 1,000 | A | Sep 9, 2015 | Oct 31, 2015 | Common stock | 266,149 | 265,149 | D |