SEC Form 4/A · accession 0000899243-16-016873
Aeon Global Health Corp. · AGHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
William A Marshall
Other
Period of report
Jan 15, 2016
Accepted (ET)
Mar 29, 2016 · 8:01 pm EDT
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) | $12.06 | Jan 15, 2016 | D | 4,146 | D | Sep 14, 2012 | Mar 14, 2017 | Common Stock | 4,146 | 0 | D |
| Warrant (right to buy) | $12.06 | Jan 15, 2016 | A | 4,146 | A | Jan 15, 2016 | Mar 14, 2020 | Common Stock | 4,146 | 4,146 | D |
| Warrant (right to buy) | $12.06 | Jan 15, 2016 | D | 4,306 | D | Mar 28, 2013 | Sep 28, 2017 | Common Stock | 4,306 | 0 | D |
| Warrant (right to buy) | $12.06 | Jan 15, 2016 | A | 4,306 | A | Jan 15, 2016 | Sep 28, 2020 | Common Stock | 4,306 | 4,306 | D |
| Warrant (right to buy) | $12.06 | Jan 15, 2016 | D | 3,014 | D | Mar 28, 2013 | Sep 28, 2017 | Common Stock | 3,014 | 0 | D |
| Warrant (right to buy) | $12.06 | Jan 15, 2016 | A | 3,014 | A | Jan 15, 2016 | Sep 28, 2020 | Common Stock | 3,014 | 3,014 | D |
| Warrant (right to buy) | $8.55 | Jan 15, 2016 | D | 11,111 | D | Dec 20, 2013 | Jun 20, 2018 | Common Stock | 11,111 | 0 | D |
| Warrant (right to buy) | $8.55 | Jan 15, 2016 | A | 11,111 | A | Jan 15, 2016 | Jun 20, 2021 | Common Stock | 11,111 | 11,111 | D |
| Warrant (right to buy) | $7.9875 | Jan 15, 2016 | D | 2,440 | D | Mar 3, 2015 | Sep 3, 2019 | Common Stock | 2,440 | 0 | D |
| Warrant (right to buy) | $7.9875 | Jan 15, 2016 | A | 2,440 | A | Jan 15, 2016 | Sep 3, 2022 | Common Stock | 2,440 | 2,440 | 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 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. This Form 4/A is being filed to correct the transaction codes reported in column 4 of Table II of the original Form 4 filed on January 20, 2016 which were inadvertently reported as "J". The correct transaction codes for the covered transactions are reflected in column 4 of Table II of this Form 4/A.
Remarks
Except for the change to the transaction codes described in note 1, above, there are no other changes to the original Form 4; however, the number of shares of common stock and the exercise prices of the derivative securities reported on this Form 4/A have been adjusted to reflect the one-for-nine reverse stock split implemented by the issuer on January 22, 2016.