SEC Form 4 · accession 0001638599-19-000020
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
Jan 2, 2019
Accepted (ET)
Jan 3, 2019 · 5:28 pm EST
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 | Jan 2, 2019 | M | 40,000 | $1.24 | A | 58,749 | D | |
| Common Stock, par value $.0001 | Jan 2, 2019 | M | 133,686 | $1.95 | A | 192,435 | D | |
| Common Stock, par value $.0001F1 | Jan 2, 2019 | M | 140,000 | $1.24 | A | 606,667 | I | By Private Medical Equity, Inc. |
| Common Stock, par value $.0001F1 | holding | — | — | — | 6,000 | I | By The Meliora Trust | |
| Common Stock, par value $.0001F1 | 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 | Jan 2, 2019 | M | 40,000 | D | Mar 2, 2015 | Mar 2, 2025 | Common Stock | 40,000 | 0 | D |
| Stock Option (right to buy)F2 | $1.95 | Jan 2, 2019 | M | 133,686 | D | — | Jul 7, 2027 | Common Stock | 133,686 | 267,370 | D |
| Stock Option (right to buy)F1 | $1.24 | Jan 2, 2019 | M | 140,000 | D | Mar 23, 2015 | Mar 23, 2025 | Common Stock | 140,000 | 140,000 | I |
| Stock Option (right to buy)F3 | $6.20 | holding | — | — | — | — | Jul 24, 2028 | Common Stock | 124,210 | 124,210 | D |
Explanation of responses
- F1The 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.
- F2The 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.
- F3One-third of the option becomes exercisable on July 24, 2019 and the remaining shares underlying the option become exercisable in equal increments on each of the 24-one month anniversaries thereafter.