SEC Form 4 · accession 0001144204-17-016125
Aeon Global Health Corp. · AGHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hanif A Roshan
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Mar 20, 2017
Accepted (ET)
Mar 22, 2017 · 8:44 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible NoteF1,F2 | $2.03 | Mar 20, 2017 | A | — | A | Mar 20, 2017 | Mar 20, 2018 | Common Stock | 125,821 | — | D |
Explanation of responses
- F1Effective on March 20, 2017 the registrant entered into a transaction with the reporting person to exchange a preexisting note in the aggregate principal amount of $250,000 that was held by the reporting person for a new note in the aggregate principal amount of $255,417 that is convertible into shares of the registrant's common stock. The new note is convertible at the initial conversion rate of $2.03 per share.
- F2Represents 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.