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 | ||||
Warrants to purchase common stock | 06/27/2017(1) | 06/27/2027 | Common Stock | 150,000 | $ 0.8 | D | |
Options to purchase common stock | 04/02/2018(2) | 04/02/2028 | Common Stock | 300,000 | $ 0.88 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Vitolo Ottavio V. C/O RELMADA THERAPEUTICS, INC. 750 THIRD AVENUE, 9TH FLOOR NY, NY 10016 |
Chief Medical Officer |
/s/ Ottavio Vitolo | 04/03/2018 | |
**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) | Warrants 100% vested on date of grant. |
(2) | Pursuant to the terms of the company's Amended and Restated 2013 Stock Plan, a total of 25% of the options will vest one year from the grant date, and the remaining 75% shall vest in equal increments of 6.25% per quarter of the initial option grant over the following three year period. |