SEC Form 4 · accession 0000899243-16-011971
Aeon Global Health Corp. · AGHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Todd A. Borus
Director
Period of report
Jan 15, 2016
Accepted (ET)
Jan 20, 2016 · 7:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000885074
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy) | $0.95 | Jan 15, 2016 | J | 25,000 | D | Dec 20, 2013 | Jun 20, 2018 | Common Stock | 25,000 | 0 | D |
| Warrant (right to buy) | $0.95 | Jan 15, 2016 | J | 25,000 | A | Jan 15, 2016 | Jun 20, 2021 | Common Stock | 25,000 | 25,000 | D |
| Warrant (right to buy) | $0.8875 | Jan 15, 2016 | J | 10,982 | D | Mar 3, 2015 | Sep 3, 2019 | Common Stock | 10,982 | 0 | D |
| Warrant (right to buy) | $0.8875 | Jan 15, 2016 | J | 10,982 | A | Jan 15, 2016 | Sep 3, 2022 | Common Stock | 10,982 | 10,982 | D |
Explanation of responses
- F1The reported transactions involve an amendment of the warrants to amend the expiration date, resulting in the deemed cancellation of the old warrant and the simultaneous issuance of the new warrant for purposes of Section 16. The amendment to the warrants was in consideration of the Reporting Person entering into a lockup agreement with the issuer.