SEC Form 4 · accession 0001214659-18-002063
NEXIEN BIOPHARMA, INC. · NXEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Jeffrey Friedland
10% Owner
Period of report
Mar 8, 2018
Accepted (ET)
Mar 12, 2018 · 7:13 pm EDT
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 StockF1 | Mar 8, 2018 | D | 1,166,667 | — | D | 833,333 | D | |
| Common Stock | holding | — | — | — | 228,800 | I | By Lane 6552 LLC | |
| 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 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
- F1Mr. Friedland resigned as an officer and director on March 8, 2018, thereby causing his unvested shares granted under the Company's Stock Incentive Plan to be forfeited and returned to the Company for cancellation.