SEC Form 4/A · accession 0001662252-17-000123

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

Officer — CEO · Director

Period of report

Dec 20, 2016

Accepted (ET)

Jun 15, 2017 · 5:14 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.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option^F1,F2	$3.50	Dec 20, 2016	A	83,334	A	Dec 20, 2017	Dec 20, 2026	Common Stock	83,334	83,333	D
Stock Option^F1,F2	$3.50	Dec 20, 2016	A	83,333	A	Dec 20, 2018	Dec 20, 2026	Common Stock	83,333	166,667	D
Stock Option^F1,F2	$3.50	Dec 20, 2016	A	83,333	A	Dec 20, 2019	Dec 20, 2026	Common Stock	83,333	250,000	D

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 250,000 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 has a ten-year life and vests one-third upon the first anniversary of the grant date, one-third upon the second anniversary of the grant date and one-third on the third anniversary of the grant date.
F2On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that he beneficially owned an aggregate of 433,786 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.