SEC Form 4 · accession 0001213900-17-000886
DelMar Pharmaceuticals, Inc. · DMPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis M Brown
Officer — Chief Scientific Officer · Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 4:31 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 StockF3,F1 | Jan 31, 2017 | C | 125,000 | $1.5366 | A | 884,839 | I | Note |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to buy)F2,F3 | $1.5366 | Jan 31, 2017 | C | 125,000 | D | Feb 1, 2012 | Feb 1, 2017 | Common Stock | 125,000 | 0 | I |
Explanation of responses
- F1Includes 347,339 shares of the Issuer's common stock owned directly by reporting person and 537,500 shares of the Issuer's common stock held by Valent Technologies LLC, of which Reporting Person is the sole member and owner and holds.
- F2Warrants were held by Valent Technologies LLC.
- F3The exercise price of the warrants was CDN $2.00. $1.5366 represents the exercise price in USD based on the exchange rate as of the exercise date.