SEC Form 4 · accession 0001493152-18-010309
PRESSURE BIOSCIENCES INC · PBIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard T Schumacher
Officer — President, CEO · Director
Period of report
Jul 18, 2018
Accepted (ET)
Jul 20, 2018 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000830656
Table I — non-derivative securities
No Table I lines on this filing.
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 OptionF5,F1 | $3.40 | Jul 18, 2018 | A | 25,000 | A | Aug 18, 2018 | Jul 18, 2028 | Common Stock | 25,000 | 25,000 | D |
| Non-Qualified Stock OptionF2,F3 | $18.00 | Jul 18, 2018 | D | 2,500 | D | — | Mar 13, 2019 | Common Stock | 2,500 | 0 | D |
| Non-Qualified Stock OptionF2,F3 | $3.40 | Jul 18, 2018 | A | 2,500 | A | — | Jul 18, 2028 | Common Stock | 2,500 | 2,500 | D |
| Non-Qualified Stock OptionF2,F3 | $30.00 | Jul 18, 2018 | D | 500 | D | — | Sep 12, 2021 | Common Stock | 500 | 0 | D |
| Non-Qualified Stock OptionF2,F3 | $3.40 | Jul 18, 2018 | A | 500 | A | — | Jul 18, 2028 | Common Stock | 500 | 3,000 | D |
| Non-Qualified Stock OptionF2,F3 | $18.00 | Jul 18, 2018 | D | 1,000 | D | — | Mar 14, 2022 | Common Stock | 1,000 | 0 | D |
| Non-Qualified Stock OptionF2,F3 | $3.40 | Jul 18, 2018 | A | 1,000 | A | — | Jul 18, 2028 | Common Stock | 1,000 | 4,000 | D |
| Non-Qualified Stock OptionF2,F3 | $12.00 | Jul 18, 2018 | D | 2,500 | D | — | May 15, 2023 | Common Stock | 2,500 | 0 | D |
| Non-Qualified Stock OptionF2,F3 | $3.40 | Jul 18, 2018 | A | 2,500 | A | — | Jul 18, 2028 | Common Stock | 2,500 | 6,500 | D |
| Non-Qualified Stock OptionF2,F4 | $9.00 | Jul 18, 2018 | D | 10,000 | D | — | Sep 25, 2024 | Common Stock | 10,000 | 0 | D |
| Non-Qualified Stock OptionF2,F4 | $3.40 | Jul 18, 2018 | A | 10,000 | A | — | Jul 18, 2028 | Common Stock | 10,000 | 10,000 | D |
| Non-Qualified Stock OptionF2,F5 | $12.00 | Jul 18, 2018 | D | 41,667 | D | — | Jan 1, 2026 | Common Stock | 41,667 | 0 | D |
| Non-Qualified Stock OptionF2,F5 | $3.40 | Jul 18, 2018 | A | 41,667 | A | — | Jul 18, 2028 | Common Stock | 41,667 | 41,667 | D |
| Non-Qualified Stock OptionF2,F5 | $8.40 | Jul 18, 2018 | D | 25,000 | D | — | Mar 17, 2027 | Common Stock | 25,000 | 0 | D |
| Non-Qualified Stock OptionF2,F5 | $3.40 | Jul 18, 2018 | A | 25,000 | A | — | Jul 18, 2028 | Common Stock | 25,000 | 66,667 | D |
Explanation of responses
- F1Non-qualified options vest 1/36th per month for 36 months, effective on the day of grant.
- F2The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the old stock option and the grant of a replacement stock option, which includes a new exercise price of $3.40 and a new expiration date of July 18, 2028.
- F32005 Equity Incentive Pan.
- F42013 Equity Incentive Pan.
- F52015 Nonqualified Stock Option Plan.