SEC Form 4 · accession 0001209191-16-156238
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
Dec 16, 2016
Accepted (ET)
Dec 20, 2016 · 9:33 pm EST
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 | Dec 16, 2016 | A | 33,333 | $0.90 | A | 50,583 | D | |
| Common stock, $0.0001 par value | holding | — | — | — | 1,500 | I | By spouse | |
| Common stock, $0.0001 par valueF1 | holding | — | — | — | 450 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common stock warrant | $0.90 | Dec 16, 2016 | A | 33,333 | A | Dec 21, 2016 | Dec 21, 2021 | Common stock | 33,333 | 33,333 | 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.