SEC Form 4 · accession 0000899243-16-011973
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
J David Luce
Director
Period of report
Jan 15, 2016
Accepted (ET)
Jan 20, 2016 · 7:01 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) | $0.17 | Jan 15, 2016 | J | 1,119,403 | D | Sep 15, 2012 | Dec 13, 2019 | Common Stock | 1,119,403 | 0 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 1,119,403 | A | Jan 15, 2016 | Dec 13, 2022 | Common Stock | 1,119,403 | 1,119,403 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 1,550,387 | D | Mar 28, 2013 | Dec 13, 2019 | Common Stock | 1,550,387 | 0 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 1,550,387 | A | Jan 15, 2016 | Dec 13, 2022 | Common Stock | 1,550,387 | 1,550,387 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 2,450,000 | D | Dec 20, 2013 | Dec 13, 2019 | Common Stock | 2,450,000 | 0 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 2,450,000 | A | Jan 15, 2016 | Dec 13, 2022 | Common Stock | 2,450,000 | 2,450,000 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 155,039 | D | Mar 28, 2013 | Dec 13, 2019 | Common Stock | 155,039 | 0 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 155,039 | A | Jan 15, 2016 | Dec 13, 2022 | Common Stock | 155,039 | 155,039 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 200,000 | D | Dec 20, 2013 | Dec 13, 2019 | Common Stock | 200,000 | 0 | I |
| Warrant (right to buy) | $0.17 | Jan 15, 2016 | J | 200,000 | A | Jan 15, 2016 | Dec 13, 2022 | Common Stock | 200,000 | 200,000 | I |
| Convertible NoteF2,F3 | $0.54 | Jan 15, 2016 | A | 320,000 | A | Jan 15, 2016 | Apr 15, 2016 | Common Stock | 592,593 | 320,000 | I |
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 warrants and the simultaneous issuance of new warrants 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.
- F2On January 15, 2016, the registrant amended a preexisting secured note in the aggregate principal amount of $320,000 that was issued to the reporting person on August 7, 2015 so as to make such secured note convertible into shares of common stock of the issuer. As amended, the note has a maturity date of April 15, 2016, provided, however, the reporting person has the right to extend the maturity date for an additional 90 day period.
- F3Represents the number of shares of common stock issuable upon conversion of the principal amount of the convertible note at the initial conversion price of the convertible note.