SEC Form 4 · accession 0001209191-15-055553
Phio Pharmaceuticals Corp. · PHIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geert Cauwenbergh
Officer — President & CEO · Director
Period of report
Jun 22, 2015
Accepted (ET)
Jun 23, 2015 · 7:35 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 22, 2015 | X | 35,000 | $0.455 | A | 172,500 | D | |
| Common stock, $0.0001 par value | holding | — | — | — | 15,000 | I | By spouse | |
| Common stock, $0.0001 par valueF1 | holding | — | — | — | 4,500 | I | By child |
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 22, 2015 | X | 35,000 | D | Jun 2, 2015 | Jul 2, 2016 | Common stock | 35,000 | 0 | D |
Explanation of responses
- F1Represents shares held by the Reporting Person's son. The Reporting Person disclaims beneficial ownership of such shares and this report shall not constitute an admission of beneficial ownership.