SEC Form 4 · accession 0001493152-17-010672
ProPhase Labs, Inc. · PRPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert V Cuddihy Jr.
Officer — Chief Financial Officer
Period of report
Sep 14, 2017
Accepted (ET)
Sep 15, 2017 · 4:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000868278
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.005 | Sep 14, 2017 | M | 200,000 | $1.00 | A | 331,324 | D | |
| Common Stock, par value $0.005 | Sep 14, 2017 | M | 120,000 | $1.65 | A | 451,324 | D | |
| Common Stock, par value $0.005 | Sep 14, 2017 | M | 40,000 | $1.39 | A | 491,324 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $1.00 | Sep 14, 2017 | M | 200,000 | D | Dec 14, 2014 | Dec 15, 2017 | Common Stock | 200,000 | 0 | D |
| Employee Stock Option (right to buy) | $1.65 | Sep 14, 2017 | M | 120,000 | D | Dec 19, 2014 | Dec 18, 2019 | Common Stock | 120,000 | 0 | D |
| Employee Stock Option (right to buy) | $1.39 | Sep 14, 2017 | M | 40,000 | D | Dec 20, 2014 | Dec 18, 2021 | Common Stock | 40,000 | 0 | D |