SEC Form 4/A · accession 0001214659-18-004976
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
Jeffrey Friedland
Other
Period of report
Mar 8, 2018
Accepted (ET)
Jul 25, 2018 · 6:51 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 | holding | — | — | — | 833,333 | D | ||
| Common Stock | holding | — | — | — | 228,800 | I | By Lane 6552 LLC (over which Mr. Friedland has no right to exercise investment or voting control) |
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 | Jun 29, 2018 | Common Stock | 20,800 | 20,800 | I |
| Class C Warrants (right to buy) | $0.50 | holding | — | — | — | Nov 29, 2017 | Jul 27, 2018 | Common Stock | 20,800 | 20,800 | I |
Explanation of responses
- F1This amendment is being filed to report that Mr. Friedland does not beneficially own the shares held of record by Intiva USA Inc. due his resignation as an officer and director of Intiva USA Inc. on March 7, 2018.