SEC Form 3/A · accession 0001662252-17-000121
Xenetic Biosciences, Inc. · XBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
Michael Scott Maguire
Director
Period of report
Nov 1, 2016
Accepted (ET)
Jun 15, 2017 · 5:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001534525
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 73,953 | D | ||
| JSOP Common Stock | holding | — | — | — | 264,124 | I | Joint ownership with Guernsey Special Purpose Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $6.60 | holding | — | — | — | Jul 1, 2016 | Jun 30, 2021 | Common Stock | 37,369 | — | D |
| Stock Options | $4.59 | holding | — | — | — | Jan 23, 2014 | Jun 9, 2020 | Common Stock | 15,002 | — | D |
| Stock OptionsF1 | $4.59 | holding | — | — | — | — | Sep 6, 2025 | Common Stock | 212,122 | — | D |
Explanation of responses
- F1This amended Form 3 is being filed to correct the disclosure of the option granted to the Reporting Person on September 6, 2015 and clarify the vesting schedule of the option, which inadvertently did not include the portion of the grant that was not yet vested as of the original filing date. The shares underlying the option will vest and become exercisable over three years, with one-third of the underlying shares vesting on each of September 6, 2015, September 6, 2016 and September 6, 2017, subject to the reporting Person's continuous service with the Issuer through each such date.