SEC Form 4 · accession 0001209191-17-039027
Phio Pharmaceuticals Corp. · PHIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexey Eliseev
Officer — Chief Business Officer
Period of report
Jun 9, 2017
Accepted (ET)
Jun 9, 2017 · 9:55 pm 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 valueF1 | Jun 9, 2017 | C | 332,499 | — | A | 1,150,312 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Convertible Preferred Stock, $0.0001 par valueF1 | — | Jun 9, 2017 | C | 332,499 | D | — | — | Common stock | 332,499 | 0 | D |
Explanation of responses
- F1The Series C Convertible Preferred Stock automatically converted into common stock upon approval by the Company's stockholders in accordance with the stockholder approval requirements of Nasdaq Marketplace Rule 5635 without payment of consideration. The Series C Convertible Preferred Stock have no expiration.