SEC Form 4 · accession 0001144204-17-002903
NAVIDEA BIOPHARMACEUTICALS, INC. · NAVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael M Goldberg
Officer — President & CEO · Director
Period of report
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 3:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000810509
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| NAVB Common Stock, $.001 par value | Jan 17, 2017 | X | 5,411,850 | $0.01 | A | 5,815,002 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy) | $0.01 | Jan 17, 2017 | X | 5,411,850 | D | Oct 17, 2016 | Aug 20, 2035 | Common Stock | 5,411,850 | 0 | D |
Explanation of responses
- F1Series LL warrants exercised in exchange for issuance of common stock.