SEC Form 4 · accession 0001209191-15-049286
Phio Pharmaceuticals Corp. · PHIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Curtis Lockshin
Director
Period of report
Jun 2, 2015
Accepted (ET)
Jun 3, 2015 · 8:03 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001533040
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, $0.0001 par value | Jun 2, 2015 | A | 12,000 | $0.40 | A | 13,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Overallotment purchase right | $0.455 | Jun 2, 2015 | A | 6,000 | A | Jun 2, 2015 | Jul 2, 2016 | Common stock | 6,000 | 6,000 | D |
| Common stock warrant | $0.52 | Jun 2, 2015 | A | 6,000 | A | Jun 2, 2015 | Jun 2, 2020 | Common stock | 6,000 | 6,000 | D |