SEC Form 4 · accession 0000905148-18-000587
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
Jun 21, 2018
Accepted (ET)
Jun 25, 2018 · 5:28 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,F3 | Jun 21, 2018 | C | 3,961,900 | $1.00 | A | 17,378,242 | 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)F3,F1,F2 | $1.00 | Jun 21, 2018 | C | 39,619 | D | Jun 21, 2018 | — | Common Stock | 3,961,900 | 0 | I |
Explanation of responses
- F1On June 21, 2018, as a result of receipt of the Requisite Stockholder Approval (defined and described further in the reporting person's amendment to Schedule 13D filed on April 19, 2018), each share of Series B Convertible Preferred Stock ("Preferred Stock") automatically converted into 100 shares of Common Stock, reflecting a conversion price equal to $1.00 per share.
- F2The Preferred Stock had no expiration date.
- F3These shares of Common Stock ("Shares") and 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.