SEC Form 4/A · accession 0000899243-16-016874

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

J David Luce

Other

Period of report

Jan 15, 2016

Accepted (ET)

Mar 29, 2016 · 8:02 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)	$1.53	Jan 15, 2016	D	124,378	D	Sep 15, 2012	Dec 13, 2019	Common Stock	124,378	0	I
Warrant (right to buy)	$1.53	Jan 15, 2016	A	124,378	A	Jan 15, 2016	Dec 13, 2022	Common Stock	124,378	124,378	I
Warrant (right to buy)	$1.53	Jan 15, 2016	D	172,265	D	Mar 28, 2013	Dec 13, 2019	Common Stock	172,265	0	I
Warrant (right to buy)	$1.53	Jan 15, 2016	A	172,265	A	Jan 15, 2016	Dec 13, 2022	Common Stock	172,265	172,265	I
Warrant (right to buy)	$1.53	Jan 15, 2016	D	272,222	D	Dec 20, 2013	Dec 13, 2019	Common Stock	272,222	0	I
Warrant (right to buy)	$1.53	Jan 15, 2016	A	272,222	A	Jan 15, 2016	Dec 13, 2022	Common Stock	272,222	272,222	I
Warrant (right to buy)	$1.53	Jan 15, 2016	D	17,226	D	Mar 28, 2013	Dec 13, 2019	Common Stock	17,226	0	I
Warrant (right to buy)	$1.53	Jan 15, 2016	A	17,226	A	Jan 15, 2016	Dec 13, 2022	Common Stock	17,226	17,226	I
Warrant (right to buy)	$1.53	Jan 15, 2016	D	22,222	D	Dec 20, 2013	Dec 13, 2019	Common Stock	22,222	0	I
Warrant (right to buy)	$1.53	Jan 15, 2016	A	22,222	A	Jan 15, 2016	Dec 13, 2022	Common Stock	22,222	22,222	I
Convertible Note^F2,F3	$4.86	Jan 15, 2016	A	—	A	Jan 15, 2016	Apr 15, 2016	Common Stock	65,843	—	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. 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.
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.

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 conversion and 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.