SEC Form 4 · accession 0001387131-18-006220
TherapeuticsMD, Inc. · TXMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert G Finizio
Officer — CEO · Director
Period of report
Nov 12, 2018
Accepted (ET)
Nov 14, 2018 · 8:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000025743
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 12, 2018 | M | 92,000 | $0.1018 | A | 18,485,559 | D | |
| Common StockF2 | Nov 12, 2018 | S | 92,000 | $4.73 | D | 18,393,559 | D | |
| Common Stock | Nov 13, 2018 | M | 92,000 | $0.1018 | A | 18,485,559 | D | |
| Common StockF3 | Nov 13, 2018 | S | 92,000 | $4.809 | D | 18,393,559 | D | |
| Common StockF4 | holding | — | — | — | 1,335,136 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 664,864 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $0.1018 | Nov 12, 2018 | M | 92,000 | D | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 92,000 | 644,910 | D |
| Non-Qualified Stock Option (right to buy) | $0.1018 | Nov 13, 2018 | M | 92,000 | D | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 92,000 | 552,910 | D |
Explanation of responses
- F1The sales were made pursuant to the Reporting Person's 10b5-1 trading plan with respect to shares of Common Stock underlying options to purchase Common Stock that expire on or before January 1, 2019.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.63 to $4.87, inclusive. The reporting person undertakes to provide TherapeuticsMD, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.73 to $4.935, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4By the Reporting Person's Grantor-Retained Annuity Trust.
- F5By Robert Finizio Revocable Trust.