SEC Form 4 · accession 0001615774-18-004655
ATOSSA GENETICS INC · ATOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kyle Guse
Officer — CFO, Gen Counsel and Secretary
Period of report
May 30, 2018
Accepted (ET)
May 31, 2018 · 3:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001488039
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF4,F1,F2,F3 | $3.52 | May 30, 2018 | P | 8 | A | May 30, 2018 | — | Common Stock | 2,273 | 8 | D |
| WarrantsF4 | $4.05 | May 30, 2018 | P | 2,272 | A | May 30, 2018 | May 30, 2022 | Common Stock | 2,272 | 2,272 | D |
Explanation of responses
- F1Each share of Series B Convertible Preferred Stock is convertible into the number of shares of Common Stock equal to the stated value of $1,000 divided by $3.52.
- F2Shares of Series B Convertible Preferred Stock do not expire.
- F3No fractional shares will be issued upon conversion. At its election, the Company will either issue a cash adjustment or round up to the next whole share. The number reflected here assumes rounding up to the next whole share.
- F4Shares of Series B Convertible Preferred Stock and Warrants were issued as part of a unit, with each unit consisting of one share of Series B Convertible Preferred Stock and 284 Warrants.