SEC Form 4 · accession 0001662252-17-000207
Xenetic Biosciences, Inc. · XBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Eric Callaway
Director
Period of report
Oct 11, 2017
Accepted (ET)
Oct 13, 2017 · 4:54 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 | $2.95 | Oct 11, 2017 | A | 6,250 | A | Jan 11, 2018 | Oct 11, 2027 | Common Stock | 6,250 | 6,250 | D |
| Stock OptionF1 | $2.95 | Oct 11, 2017 | A | 6,250 | A | Apr 11, 2018 | Oct 11, 2027 | Common Stock | 6,250 | 12,500 | D |
| Stock OptionF1 | $2.95 | Oct 11, 2017 | A | 6,250 | A | Jul 11, 2018 | Oct 11, 2027 | Common Stock | 6,250 | 18,750 | D |
| Stock OptionF1 | $2.95 | Oct 11, 2017 | A | 6,250 | A | Oct 11, 2018 | Oct 11, 2027 | Common Stock | 6,250 | 25,000 | D |
Explanation of responses
- F1On October 11, 2017 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 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.