SEC Form 4 · accession 0001140361-15-016709
Aeon Global Health Corp. · AGHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
LAZARUS INVESTMENT PARTNERS LLLP
10% Owner
Justin B Borus
10% Owner
Lazarus Management Co LLC
10% Owner
Period of report
Apr 24, 2015
Accepted (ET)
Apr 28, 2015 · 5:10 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)F2,F3 | $1.40 | Apr 24, 2015 | J | 1,250,000 | D | Apr 13, 2011 | Oct 13, 2015 | Common Stock | 1,250,000 | 0 | I |
| Warrant (right to buy)F2,F3 | $0.25 | Apr 24, 2015 | J | 1,250,000 | A | Apr 24, 2015 | Oct 25, 2019 | Common Stock | 1,250,000 | 1,250,000 | I |
| Warrant (right to buy)F2,F3 | $2.00 | Apr 24, 2015 | J | 357,142 | D | Apr 13, 2012 | Apr 13, 2016 | Common Stock | 357,142 | 0 | I |
| Warrant (right to buy)F2,F3 | $0.25 | Apr 24, 2015 | J | 357,142 | A | Apr 24, 2015 | Oct 25, 2019 | Common Stock | 357,142 | 357,142 | I |
| Warrant (right to buy)F2,F3 | $1.34 | Apr 24, 2015 | J | 746,268 | D | Sep 14, 2012 | Mar 14, 2017 | Common Stock | 746,268 | 0 | I |
| Warrant (right to buy)F2,F3 | $0.25 | Apr 24, 2015 | J | 746,268 | A | Apr 24, 2015 | Oct 25, 2019 | Common Stock | 746,268 | 746,268 | I |
| Warrant (right to buy)F2,F3 | $1.60 | Apr 24, 2015 | J | 330,000 | D | Oct 10, 2012 | Apr 10, 2017 | Common Stock | 330,000 | 0 | I |
| Warrant (right to buy)F2,F3 | $0.25 | Apr 24, 2015 | J | 330,000 | A | Apr 24, 2015 | Oct 25, 2019 | Common Stock | 330,000 | 330,000 | I |
| Warrant (right to buy)F2,F3 | $1.34 | Apr 24, 2015 | J | 1,317,830 | D | Mar 28, 2013 | Sep 28, 2017 | Common Stock | 1,317,830 | 0 | I |
| Warrant (right to buy)F2,F3 | $0.25 | Apr 24, 2015 | J | 1,317,830 | A | Apr 24, 2015 | Oct 25, 2019 | Common Stock | 1,317,830 | 1,317,830 | I |
| Warrant (right to buy)F2,F3 | $0.95 | Apr 24, 2015 | J | 2,000,000 | D | Dec 20, 2013 | Jun 20, 2018 | Common Stock | 2,000,000 | 0 | I |
| Warrant (right to buy)F2,F3 | $0.25 | Apr 24, 2015 | J | 2,000,000 | A | May 7, 2015 | Oct 25, 2019 | Common Stock | 2,000,000 | 2,000,000 | I |
| Warrant (right to buy)F2,F3 | $0.8875 | Apr 24, 2015 | J | 232,394 | D | Mar 3, 2015 | Sep 3, 2019 | Common Stock | 232,394 | 0 | I |
| Warrant (right to buy)F2,F3 | $0.25 | Apr 24, 2015 | J | 232,394 | A | May 7, 2015 | Oct 25, 2019 | Common Stock | 232,394 | 232,394 | I |
Explanation of responses
- F1The reported transactions involve an amendment of the warrants to amend the exercise price and expiration date, resulting in the deemed cancellation of the old warrant and the simultaneous issuance of the new warrant for purposes of Section 16.
- F2This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus and Lazarus Investment Partners LLLP ("Lazarus Partners"). The securities reported herein are owned directly by Lazarus Partners. Lazarus Management is the investment adviser and general partner of Lazarus Partners and Mr. Borus is the managing member of Lazarus Management.
- F3Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by Lazarus Partners except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, are the beneficial owner of any of the securities reported herein.