SEC Form 4 · accession 0001437749-18-005723
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 27, 2018
Accepted (ET)
Mar 28, 2018 · 5:00 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 | $1.20 | Mar 27, 2018 | A | — | A | Mar 27, 2018 | Mar 20, 2019 | Common Stock | 420,376 | — | D |
| Convertible NoteF3,F2 | $2.03 | Mar 27, 2018 | D | — | D | Mar 20, 2017 | Mar 20, 2018 | Common Stock | 125,821 | — | D |
| Convertible NoteF3,F2 | $1.20 | Mar 27, 2018 | A | — | A | Mar 27, 2018 | Mar 20, 2019 | Common Stock | 212,847 | — | D |
Explanation of responses
- F1Effective on March 27, 2018 the registrant entered into a transaction with the reporting person to exchange a preexisting note originally issued to the reporting person on January 23, 2018 in the aggregate principal amount of $500,000 for a new note in the aggregate principal amount of $504,452 that is convertible into shares of the registrant's common stock. The new note is convertible at the initial conversion rate of $1.20 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.
- F3The reported transactions involve an amendment of a convertible note originally issued on March 20, 2017 to extend the maturity date and adjust the conversion price, resulting in the deemed cancellation of the old convertible note and the simultaneous issuance of a new convertible note, for purposes of Section 16. The reduction in the conversion price was in consideration of the Reporting Person extending the maturity date of the convertible note.