SEC Form 4 · accession 0000905718-18-000015

DelMar Pharmaceuticals, Inc. · DMPI

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

Reporting owner

Director

Period of report

Dec 22, 2017

Accepted (ET)

Jan 3, 2018 · 4:59 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001498382

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Dec 31, 2017	J	176	$3.20	A	63,873	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options (Right to Buy)^F2	$2.00	Dec 22, 2017	D	37,500	D	—	Feb 1, 2022	Common Stock	37,500	0	D
Options (Right to Buy)^F2	$2.00	Dec 22, 2017	A	37,500	A	Dec 22, 2017	Dec 31, 2020	Common Stock	37,500	37,500	D
Options (Right to Buy)^F2	$4.20	Dec 22, 2017	D	87,500	D	—	Aug 15, 2023	Common Stock	87,500	0	D
Options (Right to Buy)^F2	$4.20	Dec 22, 2017	A	87,500	A	Dec 22, 2017	Dec 31, 2020	Common Stock	87,500	87,500	D
Options (Right to Buy)^F2	$4.95	Dec 22, 2017	D	93,600	D	—	Feb 17, 2027	Common Stock	93,600	0	D
Options (Right to Buy)^F2	$4.95	Dec 22, 2017	A	93,600	A	Dec 22, 2017	Dec 31, 2020	Common Stock	93,600	93,600	D

F1The shares were issued as dividends on the reporting person's shares of Series B Preferred Stock.
F2Effective January 1, 2018, the Reporting Person's employment with the Issuer terminated. Pursuant to the terms of the Settlement Agreement dated December 22, 2017 between the Reporting Person and the Issuer, all of the Reporting Person's outstanding stock options became fully vested and exercisable on December 22, 2017, and terminate December 31, 2020. The Reporting Person shall continue to serve as a member of the board of directors. The six reported transactions in Table II disclose the deemed cancellation of "old" options and the grant of replacement options resulting from the foregoing amendments to the options.