SEC Form 4 · accession 0001209191-19-017201
Phio Pharmaceuticals Corp. · PHIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerrit Dispersyn
Officer — President & CEO
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 9:01 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 StockF1 | Mar 1, 2019 | A | 407,703 | $0.00 | A | 479,053 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As reported on the Current Report on Form 8-K filed on February 15, 2019 and pursuant to the reporting person's appointment as CEO, the securities reported represent shares underlying a restricted stock unit, of which shares will vest in four equal annual installments. Additionally, the reporting person's right to receive the underlying shares at vesting is subject to stockholder approval of an increase in the authorized shares under the Company's equity compensation plan. In the event that such an increase is not approved, then no shares will be issued at the applicable vesting date.