SEC Form 4 · accession 0001493152-19-001029
NON INVASIVE MONITORING SYSTEMS INC /FL/ · NIMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 24, 2019
Accepted (ET)
Jan 28, 2019 · 4:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720762
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par value per shareF1,F2 | Jan 24, 2019 | C | 6,335,000 | — | A | 54,690,325 | I | Frost Gamma Investments Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Convertible Preferred StockF2,F1 | — | Jan 24, 2019 | C | 1,267 | D | — | — | Common Stock | 6,335,000 | 0 | I |
Explanation of responses
- F1Each share of Series D Convertible Preferred Stock converted into 5,000 shares of common stock and had no expiration date.
- F2The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.