SEC Form 5 · accession 0001209191-16-097503
NOCOPI TECHNOLOGIES INC/MD/ · NNUP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herman Mark Gerwitz
Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 11, 2016 · 2:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000888981
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, $.01 par value | holding | — | — | — | 6,000 | I | IRA | |
| Common stock, $.01 par value | holding | — | — | — | 245,049 | D | ||
| Common stock, $.01 par value | holding | — | — | — | 72,500 | I | Daughter | |
| Common stock, $.01 par value | holding | — | — | — | 50,000 | I | M. Gerwitz UGMA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible debenture | $0.05 | Jul 8, 2014 | P | — | A | Jul 8, 2016 | Jul 8, 2016 | Common Stock | 106,660 | — | D |
| Common stock warrants | $0.02 | Jul 8, 2014 | P | 26,665 | A | Jul 8, 2016 | Jul 8, 2021 | Common Stock | 26,665 | 26,665 | D |
| Common stock warrants | $0.0703 | Jul 8, 2014 | J | 4,500 | D | May 6, 2010 | Mar 21, 2015 | Common Stock | 4,500 | 0 | D |
| Common stock warrants | $0.0703 | Mar 21, 2015 | J | 3,000 | D | May 6, 2010 | Mar 21, 2015 | Common Stock | 3,000 | 0 | D |
Explanation of responses
- F1Conversion of short-term loan.
- F2Expiration of common stock warrants