SEC Form 4 · accession 0001121781-15-000199
GUIDED THERAPEUTICS INC · GTHP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald W Hart
Director
Period of report
May 29, 2015
Accepted (ET)
Jul 17, 2015 · 5:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000924515
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jun 29, 2015 | P$0 | 5,682 | — | A | 696,748 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF3 | $0.10 | May 29, 2015 | A | 600,000 | A | May 29, 2015 | May 28, 2025 | Common Stock | 600,000 | 1,255,000 | D |
| Tranche A WarrantsF1 | $1.08 | Jun 19, 2015 | S | 18,382 | D | May 22, 2013 | May 22, 2018 | Common Stock | 18,382 | 0 | D |
| Tranche B WarrantsF1 | $0.104 | Jun 19, 2015 | S | 189,889 | D | May 22, 2013 | May 22, 2018 | Common Stock | 189,889 | 0 | D |
| Tranche A WarrantsF1 | $0.104 | Jun 19, 2015 | P | 18,382 | A | May 22, 2013 | May 22, 2018 | Common Stock | 18,382 | 18,382 | D |
| Tranche B WarrantsF1 | $0.09 | Jun 19, 2015 | P | 189,889 | A | May 22, 2013 | May 22, 2018 | Common Stock | 189,889 | 189,889 | D |
Explanation of responses
- F1On June 30, 2015, the reporting person disposed of warrants to purchase common stock in exchange for new warrants to purchase common stock and shares of common stock in an exchange with the issuer.
- F2These shares were granted as dividend on the issuer's Series B preferred stock.
- F3These options to purchase common stock were granted under the Guided Therapeutics, Inc. 1995 Stock Plan as amended; as 2015 director's fees, in lieu of cash. The options are 100% vested.