SEC Form 4 · accession 0000905148-18-000454
Aspira Women's Health Inc. · AWHL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack W Schuler
10% Owner
Period of report
Apr 17, 2018
Accepted (ET)
Apr 19, 2018 · 4:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000926617
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001F1 | Apr 17, 2018 | P | 2,838,090 | $1.00 | A | 13,416,342 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred Stock (Right to Buy)F1,F2 | — | Apr 17, 2018 | P | 39,619 | A | — | — | Common Stock | 3,961,900 | 39,619 | I |
Explanation of responses
- F1These shares of Common Stock ("Shares") and Series B Convertible Preferred Stock ("Preferred Stock") are directly held by the Jack W. Schuler Living Trust. Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.
- F2Each share of Preferred Stock is initially convertible into 100 Shares automatically upon the Requisite Stockholder Approval (defined and described further in the Schedule 13D/A filed by the Reporting Person on April 19, 2018), subject to customary anti-dilution adjustments, reflecting an initial conversion price equal to $1.00 per share. The Preferred Stock has no expiration date.