SEC Form 4 · accession 0001104659-17-014835
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
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 4:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001583771
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $1.43 | Mar 3, 2017 | A | 313,898 | A | — | Mar 3, 2027 | Common Stock | 313,898 | 2,447,231 | D |
| Stock OptionsF2 | $1.48 | Mar 6, 2017 | A | 313,898 | A | — | Mar 6, 2027 | Common Stock | 313,898 | 2,761,129 | D |
Explanation of responses
- F1Options vest in three installments as follows: 104,632 of the options vest on each of March 3, 2018 and 2019 and 104,634 vest on March 3, 2020.
- F2Options vest in three installments as follows: 104,632 of the options vest on each of March 6, 2018 and 2019 and 104,634 vest on March 6, 2020.