SEC Form 4 · accession 0001144204-17-047885
Aeon Global Health Corp. · AGHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Goldberg
Officer — Chief Operating Officer
Period of report
Sep 11, 2017
Accepted (ET)
Sep 13, 2017 · 5:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000885074
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 11, 2017 | A | 32,051 | $0.00 | A | 32,051 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to buy)F2 | $2.00 | Sep 11, 2017 | A | 25,000 | A | Oct 1, 2019 | Sep 11, 2027 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs will vest in full on February 10, 2019, subject to the Reporting Person's continued employment with the Company.
- F2The shares subject to the option will vest in three equal annual installments commencing on the first anniversary of the date of grant, subject to the Reporting Person's continued service through each vesting date. However, none of the vested options shall be exercisable prior to October 1, 2019.