SEC Form 4 · accession 0001214659-18-001508
NEXIEN BIOPHARMA, INC. · NXEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Friedland
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jan 16, 2018
Accepted (ET)
Feb 23, 2018 · 3:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001625288
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 16, 2018 | L | 20,800 | $0.25 | A | 228,800 | I | By Lane 6552 LLC |
| Common Stock | holding | — | — | — | 2,000,000 | D | ||
| Common Stock | holding | — | — | — | 24,000,000 | I | By Intiva USA Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Warrants (right to buy)F1 | $0.25 | Jan 16, 2018 | X | 20,800 | D | Nov 29, 2017 | Jan 31, 2018 | Common Stock | 20,800 | 0 | I |
| Class B Warrants (right to buy) | $0.38 | holding | — | — | — | Nov 29, 2017 | May 7, 2018 | Common Stock | 20,800 | 20,800 | I |
| Class C Warrants (right to buy) | $0.50 | holding | — | — | — | Nov 29, 2017 | Jul 14, 2018 | Common Stock | 20,800 | 20,800 | I |
Explanation of responses
- F1Acquired in exchange for all of Lane 6552 LLC's Class A warrants of Intiva BioPharma Inc.