SEC Form 4 · accession 0001450324-19-000008
AIM ImmunoTech Inc. · AIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas K. Equels
Officer — Exec. Vice Chairman/CEO/Pres. · Director
Period of report
Feb 27, 2019
Accepted (ET)
Mar 12, 2019 · 4:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000946644
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF1,F3 | Feb 27, 2019 | X | 65 | — | A | 65 | D | |
| WarrantsF2,F3 | Feb 27, 2019 | X | 325,000 | — | A | 325,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subr Rights(to buy)F1,F2,F3 | $1,000.00 | Feb 27, 2019 | X | 65 | A | Feb 14, 2019 | Mar 5, 2019 | Pref Stk/Warrants | — | 0 | D |
Explanation of responses
- F1Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering.
- F2Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering.
- F3Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 share of Series B Preferred Stock and 5,000 warrants.