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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 2.5913 | 04/16/2021 | A | 38,590 | (3) | 04/16/2023 | Common Stock | 38,590 | (2) | 38,590 | D | ||||
Stock Option (Right to Buy) | $ 2.5913 | 04/16/2021 | A | 77,180 | (3) | 04/16/2023 | Common Stock | 77,180 | (4) | 77,180 | D | ||||
Stock Option (Right to Buy) | $ 2.5913 | 04/16/2021 | A | 77,180 | (3) | 04/16/2023 | Common Stock | 77,180 | (5) | 77,180 | D | ||||
Stock Option (Right to Buy) | $ 2.5913 | 04/16/2021 | A | 96,475 | (3) | 04/16/2023 | Common Stock | 96,475 | (6) | 96,475 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Chapman Christopher C JR 1185 AVENUE OF THE AMERICAS, 3RD FLOOR NEW YORK,, NY 10036 |
X | President, Chief Med. Officer |
/s/ Chris Chapman | 04/21/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Received in exchange for 250,000 shares of common stock of a private company formerly known as "MyMD Pharmaceuticals, Inc." (the "Former Entity") in connection with the merger of the Former Entity with and into a wholly owned subsidiary of the Issuer (the "Merger"). On the effective date of the Merger, the closing price of the Issuer's common stock was $4.94 per share. |
(2) | Received in the Merger in exchange for a stock option to acquire 100,000 shares of common stock of the Former Entity at $1.00 per share. |
(3) | These options are fully vested and exercisable. |
(4) | Received in the Merger in exchange for a stock option to acquire 200,000 shares of common stock of the Former Entity at $1.00 per share. |
(5) | Received in the Merger in exchange for a stock option to acquire 200,000 shares of common stock of the Former Entity at $1.00 per share. |
(6) | Received in the Merger in exchange for a stock option to acquire 250,000 shares of common stock of the Former Entity at $1.00 per share. |