SEC Form 4 · accession 0001214659-18-005899
NEXIEN BIOPHARMA, INC. · NXEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert I Goldfarb
Officer — Chief Operating Officer
Period of report
Aug 8, 2018
Accepted (ET)
Sep 4, 2018 · 4:48 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 | holding | — | — | — | 1,028,800 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class C Warrants (right to buy)F1 | $0.50 | Aug 8, 2018 | J | 2,400 | D | Nov 29, 2017 | Aug 8, 2018 | Common Stock | 2,400 | 0 | D |
| Class D Warrants (right to buy)F1,F2 | $1.00 | Aug 8, 2018 | J | 2,400 | A | Aug 8, 2018 | Sep 28, 2018 | Units | 2,400 | 2,400 | D |
Explanation of responses
- F1Class C Warrants were exchanged for an equal number of Class D Warrants.
- F2Each unit consists of one share of common stock and one Class E Warrant.