SEC Form 4 · accession 0001214659-18-006682
NEXIEN BIOPHARMA, INC. · NXEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard S Greenberg
Officer — EVP · Director
Period of report
Oct 26, 2018
Accepted (ET)
Oct 29, 2018 · 3:04 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 | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase common stock (right to buy)F1 | $0.655 | Oct 26, 2018 | A | 100,000 | A | Oct 26, 2018 | Oct 26, 2025 | Common Stock | 100,000 | 100,000 | D |
| Options to purchase common stock (right to buy)F2 | $0.54 | holding | — | — | — | Jul 25, 2018 | Jul 25, 2025 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1Granted under the Company's 2018 Equity Incentive Plan.
- F237,500 options vested immediately, with the remainder vesting quarterly over the next 6 quarters beginning with the quarter ending September 30, 2018.