SEC Form 3 · accession 0001104659-16-140284
Hepion Pharmaceuticals, Inc. · HEPA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gabriel Cerrone
10% Owner
Period of report
Aug 17, 2016
Accepted (ET)
Aug 17, 2016 · 5:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001583771
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 78,146 | D | ||
| Common StockF1 | holding | — | — | — | 5,105,433 | I | By Panetta Partners Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $0.94 | holding | — | — | — | — | Jun 16, 2026 | Common Stock | 360,000 | — | D |
Explanation of responses
- F1Mr. Cerrone is a director of Panetta Partners, Ltd.
- F210,000 options vest monthly over a period of 3 years.