4: Statement of changes in beneficial ownership of securities
Published on November 5, 2021
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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) |
(e.g., puts, calls, warrants, options, convertible securities)
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) | $ 4 | 11/03-05:00/2021 | D(1) | 25,000 | 04/15-05:00/2017 | 04/15-05:00/2022 | Common Stock | 25,000 | (1) | 0 | D | ||||
Stock Option (Right to Buy) | $ 4 | 11/03-05:00/2021 | A(1) | 25,000 | 04/15-05:00/2017 | 04/15-05:00/2026 | Common Stock | 25,000 | (1) | 25,000 | D | ||||
Stock Option (Right to Buy) | $ 5 | 11/03-05:00/2021 | D(2) | 50,000 | 03/30-05:00/2018 | 03/30-05:00/2023 | Common Stock | 50,000 | (2) | 0 | D | ||||
Stock Option (Right to Buy) | $ 5 | 11/03-05:00/2021 | A(2) | 50,000 | 03/30-05:00/2018 | 03/30-05:00/2027 | Common Stock | 50,000 | (2) | 50,000 | D | ||||
Stock Option (Right to Buy) | $ 4 | 11/03-05:00/2021 | D(3) | 50,000 | 01/23-05:00/2019 | 01/23-05:00/2024 | Common Stock | 50,000 | (3) | 0 | D | ||||
Stock Option (Right to Buy) | $ 4 | 11/03-05:00/2021 | A(3) | 50,000 | 01/23-05:00/2019 | 01/23-05:00/2028 | Common Stock | 50,000 | (3) | 50,000 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TERRELL JASON BRADLEY MD 13215 BEE CAVE PARKWAY, SUITE 125 GALLERIA OAKS B AUSTIN, TX 78738 |
Chief Medical Officer |
Signatures
/s/ Jason Terrell MD | 11/05-05:00/2021 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on April 15, 2016, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on April 15, 2026 (ten years from the original date of grant). |
(2) | The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on March 30, 2017, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on March 30, 2027 (ten years from the original date of grant). |
(3) | The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on January 23, 2018, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on January 23, 2028 (ten years from the original date of grant). |