SEC Form 4/A · accession 0001214659-18-004709
NEXIEN BIOPHARMA, INC. · NXEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Richard S Greenberg
Officer — EVP and Chairman · Director · 10% Owner
Period of report
Jun 27, 2018
Accepted (ET)
Jul 2, 2018 · 5:45 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 Stock | Jun 28, 2018 | X | 88,000 | $0.38 | A | 888,000 | 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 | Jun 27, 2018 | J | 88,000 | A | Nov 29, 2017 | Jun 29, 2018 | Common Stock | 88,000 | 88,000 | D |
| Class B Warrants (right to buy) | $0.38 | Jun 28, 2018 | X | 88,000 | D | Nov 29, 2017 | Jun 29, 2018 | Common Stock | 88,000 | 0 | D |
Explanation of responses
- F1Acquired Class B Warrants as a gift from family members.