SEC Form 4/A · accession 0001662252-17-000119
Xenetic Biosciences, Inc. · XBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Darlene M Deptula-Hicks
Director
Period of report
Dec 20, 2016
Accepted (ET)
Jun 15, 2017 · 4:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001534525
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1,F2 | $3.50 | Dec 20, 2016 | A | 10,000 | A | Mar 20, 2017 | Dec 20, 2026 | Common Stock | 10,000 | 10,000 | D |
| Stock OptionF1,F2 | $3.50 | Dec 20, 2016 | A | 10,000 | A | Jun 20, 2017 | Dec 20, 2026 | Common Stock | 10,000 | 20,000 | D |
| Stock OptionF1,F2 | $3.50 | Dec 20, 2016 | A | 10,000 | A | Sep 20, 2017 | Dec 20, 2026 | Common Stock | 10,000 | 30,000 | D |
| Stock OptionF1,F2 | $3.50 | Dec 20, 2016 | A | 10,000 | A | Dec 20, 2017 | Dec 20, 2026 | Common Stock | 10,000 | 40,000 | D |
Explanation of responses
- F1On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.
- F2On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that she beneficially owned an aggregate of 61,416 derivative securities. This amended Form 4 is being filed to correct the number of derivative securities owned by the Reporting Person following the reported transaction.