SEC Form 4 · accession 0001104659-16-153407
Hepion Pharmaceuticals, Inc. · HEPA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Sapirstein
Officer — Chief Executive Officer · Director
Period of report
Oct 27, 2016
Accepted (ET)
Oct 31, 2016 · 5:39 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 | Oct 27, 2016 | M | 16,666 | $1.50 | A | 29,666 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $1.50 | Oct 27, 2016 | M | 16,666 | D | — | Jun 13, 2026 | Common Stock | 16,666 | 2,133,334 | D |
Explanation of responses
- F1Fully vested.