SEC Form 4 · accession 0001493152-17-014721
ProPhase Labs, Inc. · PRPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ted William Karkus
Officer — CEO & CHAIRMAN · Director · 10% Owner
Period of report
Dec 14, 2017
Accepted (ET)
Dec 18, 2017 · 4:00 pm EST
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 | Dec 14, 2017 | M | 600,000 | $1.00 | A | 2,909,638 | 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)F1 | $1.00 | Dec 14, 2017 | M | 600,000 | D | — | Dec 14, 2017 | Common Stock | 600,000 | 0 | D |
Explanation of responses
- F1These employee stock options vested in annual installments of 100,000, 100,000, 100,000 and 300,000 shares on December 14, 2011, 2012, 2013 and 2014, respectively.