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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||
Warrant (Right to Buy) | Â (2) | 03/27/2017 | Common Stock | 10,901 | $ 0.6728 | D | Â |
Warrant (Right to Buy) | Â (2) | 03/27/2017 | Common Stock | 10,901 | $ 0.8473 | D | Â |
Warrant (Right to Buy) | Â (2) | 03/27/2017 | Common Stock | 10,901 | $ 1.0466 | D | Â |
Stock Option (Right to Buy) | Â (3) | 12/11/2013 | Common Stock | 62,273 | $ 0.04 | D | Â |
Stock Option (Right to Buy) | Â (3) | 11/08/2014 | Common Stock | 25,947 | $ 0.04 | D | Â |
Stock Option (Right to Buy) | Â (3) | 02/15/2015 | Common Stock | 103,788 | $ 0.04 | D | Â |
Stock Option (Right to Buy) | Â (4) | 02/28/2016 | Common Stock | 155,682 | $ 0.05 | D | Â |
Warrant (Right to Buy) | Â (2) | 03/27/2017 | Common Stock | 5,900 | $ 0.6728 | I | See footnote (5) |
Warrant (Right to Buy) | Â (2) | 03/27/2017 | Common Stock | 5,900 | $ 0.8473 | I | See footnote (5) |
Warrant (Right to Buy) | Â (2) | 03/27/2017 | Common Stock | 5,900 | $ 1.0466 | I | See footnote (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Reich Michael OPKO HEALTH, INC. 4400 BISCAYNE BOULEVARD MIAMI, FL 33137 |
 X |  |  |  |
/s/ Kate Inman, Attorney-in-Fact | 01/08/2009 | |
**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 194,604 shares of Common Stock are held by Edonjes LLC, of which Mr. Reich's children are the beneficial owners. Mr. Reich disclaims beneficial interest of the shares of Common Stock held by Edonjes LLC, except to the extent of any pecuniary interest therein. |
(2) | These warrants are currently exercisable. |
(3) | These options are fully vested. |
(4) | 56,219 of these options are fully vested. The balance will vest monthly until fully vested in December 2009. |
(5) | These warrants of Common Stock are held by Edonjes LLC, of which Mr. Reich's children are the beneficial owners. Mr. Reich disclaims beneficial interest of the warrants to purchase shares of Common Stock held by Edonjes LLC, except to the extent of any pecuniary interest therein. |
 Remarks: All securities described were acquired in a merger transaction between Acuity Pharmaceuticals, Inc. and eXegenics, Inc. |