UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options | (1) | 07/10/2022 | Common Stock | 677,962 | $ 0.8 | D | |
Options | (2) | 09/30/2023 | Common Stock | 665,750 | $ 0.8 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TRAVERSA SERGIO C/O RELMADA THERAPEUTICS, INC. 546 FIFTH AVENUE, 14TH FLOOR NEW YORK, NY 10036 |
X | Chief Executive Officer |
/s/ Sergio Traversa | 01/16/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 options were granted on July 10, 2012 (the "Grant Date"). The stock options vest on the Grant Date based on the following vesting schedule: 25% of the options vest upon the Grant Date and the remaining 75% of the options, vest in equal quarterly increments over the next four (4) years, so that the last set of options shall vest in July 2016. |
(2) | The options were granted on September 30, 2013 (the "Grant Date"). The stock options vest on the Grant Date based on the following vesting schedule: 25% of the Options shall vest the Grant Date and the remaining 75% of the Options, shall vest in equal quarterly increments over the next four (4) years, so that the last set of options shall vest in September 2017. |