SEC Form 3 · accession 0001711456-17-000005
Xenetic Biosciences, Inc. · XBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Synbio LLC
10% Owner
Period of report
Jan 23, 2014
Accepted (ET)
Oct 27, 2017 · 8:27 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 | — | — | — | 821,567 | D | ||
| Series A Preferred Stock | holding | — | — | — | 970,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1 | $25.41 | holding | — | — | — | Dec 31, 2014 | Dec 30, 2019 | Common Stock | 204,394 | — | D |
Explanation of responses
- F1The Reporting Person owns warrants exercisable into 204,394 shares of Common Stock. Such warrants are subject to performance vesting. The vesting milestones need to be achieved by December 31, 2017 (50%) and July 31, 2018 (50%). The amount of shares of Common Stock into which such warrants are exercisable was calculated for the purposes of this report without giving effect to any performance vesting limitations.