SEC Form 4 · accession 0001144204-16-087140
ATOSSA GENETICS INC · ATOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven C Quay
Officer — President & CEO · Director · 10% Owner
Period of report
Mar 9, 2016
Accepted (ET)
Mar 10, 2016 · 2:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001488039
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Mar 9, 2016 | P | 15,000 | $0.37 | A | 4,826,858 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 15,000 shares purchased in an at-market transaction directly from Atossa Genetics, Inc.
- F2Consists of: (i) 4,348,315 shares of common stock owned by Ensisheim Partners, LLC ("Ensisheim"), and (ii) 478,543 shares of common stock owned directly by Dr. Quay. Shu-Chih Chen, Ph.D. and Dr. Quay share voting and investment power over the securities held by Ensisheim. Ensisheim is solely owned and controlled by Drs. Quay and Chen, and, as a result, Drs. Quay and Chen are deemed to be beneficial owners of the shares held by this entity.