SEC Form 4 · accession 0001140361-15-005523
Aspira Women's Health Inc. · AWHL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henri George Schuler
10% Owner
Period of report
Dec 23, 2014
Accepted (ET)
Feb 11, 2015 · 4:32 pm EST
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 $0.001 per shareF1,F6 | Dec 23, 2014 | P | 952,838 | $1.44 | A | 1,787,536 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF2,F6 | Dec 23, 2014 | P | 952,838 | $1.44 | A | 1,787,536 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF3,F6 | Dec 23, 2014 | P | 952,838 | $1.44 | A | 1,787,536 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF4,F6 | Dec 23, 2014 | P | 188,888 | $1.44 | A | 188,888 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF5,F6 | Dec 23, 2014 | P | 188,888 | $1.44 | A | 188,888 | I | See Footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Acquire Common StockF1,F6 | $2.00 | Dec 23, 2014 | P | 571,702 | A | Jun 23, 2015 | Dec 23, 2017 | Common Stock, par value $0.001 per share | 571,702 | 571,702 | I |
| Warrant to Acquire Common StockF2,F6 | $2.00 | Dec 23, 2014 | P | 571,702 | A | Jun 23, 2015 | Dec 23, 2017 | Common Stock, par value $0.001 per share | 571,702 | 571,702 | I |
| Warrant to Acquire Common StockF3,F6 | $2.00 | Dec 23, 2014 | P | 571,702 | A | Jun 23, 2015 | Dec 23, 2017 | Common Stock, par value $0.001 per share | 571,702 | 571,702 | I |
| Warrant to Acquire Common StockF4,F6 | $2.00 | Dec 23, 2014 | P | 113,332 | A | Jun 23, 2015 | Dec 23, 2017 | Common Stock, par value $0.001 per share | 113,332 | 113,332 | I |
| Warrant to Acquire Common StockF5,F6 | $2.00 | Dec 23, 2014 | P | 113,332 | A | Jun 23, 2015 | Dec 23, 2017 | Common Stock, par value $0.001 per share | 113,332 | 113,332 | I |
Explanation of responses
- F1These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Tino Hans Schuler Trust. H. George Schuler is the sole trustee of the Tino Hans Schuler Trust.
- F2These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Tanya Eve Schuler Trust. H. George Schuler is the sole trustee of the Tanya Eve Schuler Trust.
- F3These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Therese Heidi Schuler Trust. H. George Schuler is the sole trustee of the Therese Heidi Schuler Trust.
- F4These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Schuler GC 2010 Continuation Trust. H. George Schuler is the sole trustee of the Schuler GC 2010 Continuation Trust.
- F5These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Schuler Grandchildren LLC. H. George Schuler is the manager of the Schuler Grandchildren LLC.
- F6The reporting person disclaims beneficial ownership of the shares of Common Stock and Warrants to acquire Common Stock except to the extent of his pecuniary interest therein.