SEC Form 4 · accession 0001104659-18-043792
Hepion Pharmaceuticals, Inc. · HEPA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John P Brancaccio
Director
Period of report
Jul 3, 2018
Accepted (ET)
Jul 3, 2018 · 2:16 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Convertible Preferred StockF3,F1,F2 | $1.55 | Jul 3, 2018 | P | 3 | A | Jul 3, 2018 | — | Common Stock | 1,936 | 3 | D |
| WarrantsF3 | $1.55 | Jul 3, 2018 | P | 1,725 | A | Jul 3, 2018 | Jul 3, 2023 | Common Stock | 1,725 | 1,725 | D |
Explanation of responses
- F1Each share of Series C Convertible Preferred Stock is convertible into the number of shares of Common Stock equal to the stated value of $1,000 divided by $1.55.
- F2Shares of Series C Convertible Preferred Stock do not expire.
- F3Shares of Series C Convertible Preferred Stock and Warrants were issued as part of a unit, with each unit consisting of one share of Series C Convertible Preferred Stock and 575 Warrants