SEC Form 4 · accession 0001437749-18-013621

Aeon Global Health Corp. · AGHC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman and CEO · Director · 10% Owner

Period of report

Jul 19, 2018

Accepted (ET)

Jul 23, 2018 · 7:02 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.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Convertible Note^F1	$1.20	Jul 19, 2018	D	—	D	Mar 20, 2017	Mar 20, 2019	Common Stock	212,847	0	D
Convertible Note^F1	$1.20	Jul 19, 2018	D	—	D	Mar 27, 2018	Mar 20, 2019	Common Stock	420,376	0	D
Restricted Stock Rights^F2	—	Jul 19, 2018	A	911,500	A	—	—	Common Stock	911,500	911,500	D

F1Effective on July 19, 2018 the registrant entered into a transaction with the reporting person to exchange (i) a preexisting note originally issued to the reporting person on March 20, 2017 and amended on March 27, 2018 in the aggregate principal amount of $255,417 and (ii) a preexisting note originally issued to the reporting person on March 27, 2018 in the aggregate principal amount of $504,452 for a new secured note for a maximum principal amount of $1,100,000 (the "New Note"). The New Note is not convertible into any equity securities of the registrant. The preexisting notes held by the reporting person were deemed cancelled upon the issuance of the New Note pursuant to such exchange transaction.
F2Represents the right to receive 911,500 shares of common stock on February 28, 2019 pursuant to the terms of a Settlement and Restructuring Agreement dated July 19, 2018 (the "Settlement Agreement") among the reporting person, the registrant and certain other parties named therein. The shares issuable under the Settlement Agreement will be deemed earned and issued on February 28, 2019.