SEC Form 3 · accession 0001628280-19-001772
Soliton, Inc. · SOLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lori Bisson
Officer — Chief Financial Officer
Period of report
Feb 19, 2019
Accepted (ET)
Feb 22, 2019 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001548187
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 60,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase common stock (right to buy)F1 | $1.75 | holding | — | — | — | — | Jun 18, 2028 | Common Stock | 180,000 | — | D |
| Option to purchase common stock (right to buy)F2 | $1.75 | holding | — | — | — | — | Feb 5, 2029 | Common Stock | 83,500 | — | D |
| Warrant to purchase common stock (right to buy) | $1.75 | holding | — | — | — | Oct 19, 2018 | Oct 19, 2023 | Common Stock | 6,186 | — | D |
| Warrant to purchase common stock (right to buy) | $1.75 | holding | — | — | — | Oct 30, 2018 | Oct 30, 2023 | Common Stock | 4,639 | — | D |
| Warrant to purchase common stock (right to buy) | $1.75 | holding | — | — | — | Nov 15, 2018 | Nov 15, 2023 | Common Stock | 4,175 | — | D |
Explanation of responses
- F1The options set forth in this table vest in four equal annual installments beginning on the first anniversary of the issuance date, or June 18, 2018, subject to the grantee's continued service on each vesting date.
- F2The options set forth in this table vest in four equal quarterly installments beginning on the issuance date, or February 5, 2019, subject to the grantee's continued service on each vesting date.