SEC Form 4 · accession 0001214659-18-003971
NEXIEN BIOPHARMA, INC. · NXEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alain D Bankier
Officer — Chief Executive Officer · Director
Period of report
May 15, 2018
Accepted (ET)
May 23, 2018 · 10:51 am 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 Stock | May 15, 2018 | X | 28,000 | $0.38 | A | 2,256,000 | D |
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)F1 | $0.38 | May 15, 2018 | X | 28,000 | D | Nov 29, 2017 | Jun 7, 2018 | Common Stock | 28,000 | 0 | D |
| Class C Warrants (right to buy) | $0.50 | holding | — | — | — | Nov 29, 2017 | Jul 14, 2018 | Common Stock | 28,000 | 28,000 | D |
Explanation of responses
- F1Acquired in exchange for all of Alain Bankier's Class B warrants of Intiva BioPharma Inc.