SEC Form 4 · accession 0001638599-18-001117
HYPERION DEFI, INC. · HYPD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles E Mather IV
Director
Period of report
Sep 18, 2018
Accepted (ET)
Sep 20, 2018 · 4:17 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 $.0001 | Sep 18, 2018 | P | 1,000 | $4.80 | A | 5,033 | D | |
| Common Stock, par value $.0001F1 | Sep 19, 2018 | P | 3,000 | $4.78 | A | 8,033 | 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 buy)F2 | $6.20 | holding | — | — | — | — | Jul 24, 2028 | Common Stock | 4,465 | 4,465 | D |
Explanation of responses
- F1This transaction was executed in multiple trades ranging from $4.75 to $4.7885. 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 option becomes exercisable on the earlier of July 24, 2019 or the date of the Issuer's 2019 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control.