SEC Form 4 · accession 0001214659-18-006692
NEXIEN BIOPHARMA, INC. · NXEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Evan L Wasoff
Officer — Chief Financial Officer
Period of report
Oct 26, 2018
Accepted (ET)
Oct 30, 2018 · 1:59 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 | — | — | — | 1,000,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option - right to buyF1 | $0.655 | Oct 26, 2018 | A | 200,000 | A | Oct 26, 2018 | Oct 26, 2025 | Common Stock | 200,000 | 200,000 | D |
| Stock option - right to buyF2 | $0.54 | holding | — | — | — | Jul 25, 2018 | Jul 25, 2025 | Common Stock | 420,000 | 420,000 | D |
Explanation of responses
- F1Granted under the Company's 2018 Equity Incentive Plan.
- F235,000 options vested immediately, with the remainder vesting monthly over the next 11 months beginning August 1, 2018.