SEC Form 4 · accession 0001209191-15-000982
Aeon Global Health Corp. · AGHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J David Luce
Director
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 4:30 pm EST
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 | Dec 31, 2014 | A | 12,497 | $0.94 | A | 219,785 | D | |
| Common StockF2 | holding | — | — | — | 697,154 | I | By affiliated entity | |
| Common StockF3 | holding | — | — | — | 12,920 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents issuance in lieu of cash director fees pursuant to the Company's 2011 Omnibus Equity Incentive Plan.
- F2Includes 56,878 shares issued in lieu of cash dividends on shares of Series D preferred stock held by an entity affiliated with the reporting person, which shares were issued as of December 31, 2014. Reporting person believes that this transaction is exempt under Rule16a-9 under the Securities Exchange Act of 1934, as amended.
- F3Includes 4,643 shares issued in lieu of cash dividends on shares of Series D preferred stock held by the spouse of the reporting person, which shares were issued as of December 31, 2014. Reporting person believes that this transaction is exempt under Rule16a-9 under the Securities Exchange Act of 1934, as amended.