SEC Form 4 · accession 0001638599-18-000707
HYPERION DEFI, INC. · HYPD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tsontcho Ianchulev
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jun 28, 2018
Accepted (ET)
Jul 2, 2018 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001682639
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.0001F1,F2 | Jun 28, 2018 | P | 6,000 | $6.63 | A | 6,000 | I | By The Meliora Trust |
| Common Stock, par value $.0001 | holding | — | — | — | 18,749 | D | ||
| Common Stock, par value $.0001F2 | holding | — | — | — | 466,667 | I | By Private Medical Equity, Inc. | |
| Common Stock, par value $.0001F2 | holding | — | — | — | 453,333 | I | By PME Investor Services Eyenovia, LLC |
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 buy) | $1.24 | holding | — | — | — | Mar 2, 2015 | Mar 2, 2025 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (right to buy)F3 | $1.95 | holding | — | — | — | — | Jul 7, 2027 | Common Stock | 401,056 | 401,056 | D |
| Stock Option (right to buy)F2 | $1.24 | holding | — | — | — | Mar 23, 2015 | Mar 23, 2025 | Common Stock | 280,000 | 280,000 | I |
Explanation of responses
- F1This transaction was executed in multiple trades ranging from $6.35 to $6.73. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder full information regarding the number of shares and prices at which the transactions were effected.
- F2The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F3The option became exercisable as to 11,140 shares on August 7, 2017, and becomes exercisable in equal 11,140 share amounts on each of the 35 one-month anniversaries thereafter.