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 | ||||
Series C Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 518,900 | $ 0 | D | Â |
Warrant (Right to Buy) | Â (3) | 03/27/2017 | Common Stock | 64,868 | $ 0.002 | D | Â |
Warrant (Right to Buy) | Â (3) | 03/27/2017 | Common Stock | 68,852 | $ 0.6728 | D | Â |
Warrant (Right to Buy) | Â (3) | 03/27/2017 | Common Stock | 68,852 | $ 0.8473 | D | Â |
Warrant (Right to Buy) | Â (3) | 03/27/2017 | Common Stock | 68,852 | $ 1.0466 | D | Â |
Stock Option (Right to Buy) | Â (4) | 09/24/2014 | Series C Convertible Preferred Stock | 7,317 | $ 31.8 | D | Â |
Stock Option (Right to Buy) | Â (5) | 12/11/2013 | Common Stock | 430,722 | $ 0.04 | D | Â |
Stock Option (Right to Buy) | Â (4) | 09/24/2014 | Common Stock | 225,740 | $ 0.04 | D | Â |
Stock Option (Right to Buy) | Â (6) | 02/15/2015 | Common Stock | 1,297,357 | $ 0.04 | D | Â |
Stock Option (Right to Buy) | Â (7) | 11/01/2015 | Common Stock | 311,365 | $ 0.05 | D | Â |
Stock Option (Right to Buy) | Â (8) | 01/01/2016 | Common Stock | 311,365 | $ 0.05 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pfost Dale R EXEGENICS INC. 4400 BISCAYNE BOULEVARD, SUITE 900 MIAMI, FL 33137 |
 |  |  President |  |
/s/ Dale R. Pfost | 03/30/2007 | |
**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) | 1,081,116 of these shares are owned jointly by Mr. Pfost and his wife. |
(2) | These shares are currently exercisable and do not expire. |
(3) | These warrants are currently exercisable. |
(4) | These options are fully vesed. |
(5) | 349,657 of these options are presently fully vested. The balance will vest monthly until fully vested in December 2007. |
(6) | 675,705 of these options are presently fully vested. The balance will vest monthly until fully vested in February 2009.. |
(7) | 103,785 of these options are presently fully vested. The balance will vest monthly until fully vested in November 2009. |
(8) | 90,814 of these options are presently fully vested. The balance will vest monthly until fully vested in January 2010. |
 Remarks: All securities described were acquired in a merger transaction between Acuity Pharmaceuticals Inc. and eXegenics Inc. |