SEC Form 4 · accession 0001144204-17-021379
PLx Pharma Inc. · PLXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Casale
Director
Period of report
Apr 19, 2017
Accepted (ET)
Apr 20, 2017 · 9:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001497504
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 19, 2017 | A | 2,710 | — | A | 2,710 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2 | $12.44 | Apr 19, 2017 | A | 9,002 | A | Apr 19, 2017 | Jul 22, 2025 | Common Stock | 9,002 | 9,002 | D |
Explanation of responses
- F1Received in exchange for 3,442 shares of common stock of PLx Opco Inc. (formerly PLx Pharma Inc.) in connection with the merger (the "Merger") of PLx Opco Inc. with a wholly owned subsidiary of PLx Pharma Inc. (formerly Dipexium Pharmaceuticals, Inc.).
- F2Received in connection with the Merger in exchange for an employee stock option to buy 11,429 shares of PLx Opco Inc. common stock for $9.80 per share.