SEC Form 3 · accession 0001144204-17-012156
Matinas BioPharma Holdings, Inc. · MTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Abdel A. Fawzy
Officer — See remarks
Period of report
Mar 1, 2017
Accepted (ET)
Mar 1, 2017 · 4:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001582554
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001 per share | holding | — | — | — | 1,720,186 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F1 | $0.94 | holding | — | — | — | — | Oct 2, 2023 | Common Stock | 350,000 | — | D |
| Option (right to buy)F2 | $1.28 | holding | — | — | — | — | Jul 20, 2024 | Common Stock | 350,000 | — | D |
| Option (right to buy)F3 | $0.41 | holding | — | — | — | — | Jan 27, 2025 | Common Stock | 100,000 | — | D |
| Option (right to buy)F4 | $0.43 | holding | — | — | — | — | Feb 14, 2026 | Common Stock | 100,000 | — | D |
| Option (right to buy)F5 | $3.32 | holding | — | — | — | — | Feb 20, 2027 | Common Stock | 125,000 | — | D |
Explanation of responses
- F1The option award was made prior to the commencement of trading of the issuer's Common Stock on the OTC.QB. The option vested in equal monthly installments over a period of 36 months commencing on August 1, 2013.
- F2The option award was made in accordance with the terms of the issuer's Matinas BioPharma Holdings, Inc. Amended and Restated 2013 Equity Incentive Plan (the "2013 Plan"). The option vested in equal monthly installments over a period of 36 months commencing on October 3, 2013. The exercise price is based on the average of the closing bid and asked prices for the shares of the Common Stock on the OTC.QB on the date of grant in accordance with the terms of the 2013 Plan.
- F3The option award was made in accordance with the terms of the issuer's Matinas BioPharma Holdings, Inc. Amended and Restated 2013 Equity Incentive Plan. The option vests in equal monthly installments over a period of 36 months commencing on January 1, 2015. The exercise price is based on the average of the closing bid and asked prices for the shares of the Common Stock on the OTC.QB on the date of grant in accordance with the terms of the 2013 Plan.
- F4The option award was made in accordance with the terms of the issuer's Matinas BioPharma Holdings, Inc. Amended and Restated 2013 Equity Incentive Plan. The option vests in equal monthly installments over a period of 36 months commencing on February 15, 2016. The exercise price is based on the average of the closing bid and asked prices for the shares of the Common Stock on the OTC.QB on the date of grant in accordance with the terms of the 2013 Plan.
- F5The option award was made in accordance with the terms of the issuer's Matinas BioPharma Holdings, Inc. Amended and Restated 2013 Equity Incentive Plan. The option vests in equal monthly installments over a period of 36 months commencing on February 21, 2017. The exercise price is based on the average of the closing bid and asked prices for the shares of the Common Stock on the OTC.QB on the date of grant in accordance with the terms of the 2013 Plan.
Remarks
EVP, Pharmaceutical & Supply Chain Development. Exhibit 24 - Power of Attorney