SEC Form 4 · accession 0001209191-18-045456
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
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 9:29 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 StockF1 | Aug 1, 2018 | A | 21,000 | $0.00 | A | 35,258 | D | |
| Common Stock | holding | — | — | — | 450 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F2 | $1.79 | Aug 1, 2018 | A | 21,000 | A | — | Aug 1, 2028 | Common stock | 21,000 | 21,000 | D |
Explanation of responses
- F1Represents shares underlying a restricted stock unit, which shares will vest in four equal annual installments.
- F2The stock option will vest in four equal annual installments.