SEC Form 4 · accession 0001613377-16-000002
AIM ImmunoTech Inc. · AIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wayne S. Springate
Officer — Sr VP of Operations
Period of report
Feb 15, 2016
Accepted (ET)
Apr 6, 2016 · 1:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000946644
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive RightsF1 | $0.00 | Feb 15, 2016 | A | 13,939 | A | Aug 15, 2016 | Aug 15, 2016 | Common Stock | 13,939 | 13,939 | D |
| Incentive RightsF1 | $0.00 | Feb 29, 2016 | A | 11,151 | A | Aug 29, 2016 | Aug 29, 2016 | Common Stock | 11,151 | 11,151 | D |
| Incentive RightsF1 | $0.00 | Mar 15, 2016 | A | 10,454 | A | Sep 15, 2016 | Sep 15, 2016 | Common Stock | 10,454 | 10,454 | D |
| Incentive RightsF1 | $0.00 | Mar 31, 2016 | A | 12,867 | A | Sep 30, 2016 | Sep 30, 2016 | Common Stock | 12,867 | 12,867 | D |
Explanation of responses
- F1Issued pursuant to the Hemispherx Biopharma Inc 2016 voluntary incentive stock award plan. Pursuant to the plan, the reporting person has elected to withhold a portion of their salary in exchange for the incentive right. The incentive right grants the reporting person the right to receive a number of shares of common stock based upon the market price on the day prior to election. The incentive right automatically converts into common stock on the date exercisable. The plan is described in the Issuer's annual 10K report for the year ended 12/31/15.