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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) | $ 16 | 06/30/2022 | M(1) | 16,012 | 07/10/2012(8) | 07/10/2022 | Common Stock | 16,012 | $ 0 | 13,755 | D | ||||
Stock Option (right to buy) | $ 16 | 07/01/2022 | M(1) | 13,755 | 07/10/2012(8) | 07/10/2022 | Common Stock | 13,755 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TRAVERSA SERGIO C/O RELMADA THERAPEUTICS, INC. 2222 PONCE DE LEON BLVD, 3RD FLOOR CORAL GABLES,, FL 33134 |
X | Chief Executive Officer |
/s/ Sergio Traversa | 07/05/2022 | |
**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) | The transaction reported on this Form 4 reflects the exercise of stock options set to expire on July 10, 2022. |
(2) | The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person at each separate price within the range. |
(3) | Sales prices range from $19.20 to $19.51 per share, inclusive. |
(4) | Sales prices range from $19.00 to $19.15 per share, inclusive. |
(5) | Sales prices range from $18.47 to $18.53 per share, inclusive. |
(6) | Sales prices range from $18.45 to $18.47 per share, inclusive. |
(7) | Sales prices range from $18.26 to $18.44 per share, inclusive. |
(8) | The options were granted on July 10, 2012 (the "Grant Date"). 25% of the options vested upon the Grant Date and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in July 2016. |