SEC Form 3 · accession 0001615774-15-000679
Enumeral Biomedical Holdings, Inc. · ENUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Rydzewski
Officer — Executive Chairman · Director
Period of report
Apr 3, 2015
Accepted (ET)
Apr 3, 2015 · 4:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001561551
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 1,264,637 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Purchase WarrantF1 | $0.726 | holding | — | — | — | Jul 31, 2014 | Apr 15, 2019 | Common Stock | 137,762 | — | D |
| Common Stock Purchase WarrantF1 | $0.2451 | holding | — | — | — | Jul 31, 2014 | Feb 2, 2024 | Common Stock | 51,023 | — | D |
| Employee Stock Option (Right to Buy)F2 | $1.00 | holding | — | — | — | — | Jul 30, 2024 | Common Stock | 300,000 | — | D |
Explanation of responses
- F1Represents a warrant issued to the reporting person in exchange for a warrant previously issued by Enumeral Biomedical Corp. (the "Predecessor") pursuant to the terms of the merger of the Predecessor with a wholly-owned subsidiary of the Issuer.
- F2The option vests and becomes exercisable as follows: (a) as to 100,000 shares, in 48 equal monthly installments beginning on 7/31/2014 and (b) as to 200,000 shares, upon the achievement of certain performance criteria.