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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, 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. | |||
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 Common Stock) | $ 0.57 | 02/16/2018 | 02/16/2018 | A | 40,000 | (1) | 02/16/2028 | Common Stock | 40,000 | $ 0 | 40,000 | D | |||
Restricted Stock Units | (2) | 02/16/2018 | 02/16/2018 | A | 10,000 | (2) | (2) | Common Stock | 10,000 | $ 0 | 10,000 | D | |||
Restricted Stock Units | (2) | 02/16/2018 | 02/16/2018 | A | 12,000 | (2) | (2) | Common Stock | 12,000 | $ 0 | 12,000 | D | |||
Restricted Stock Units | (3) | (3) | (3) | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Option (Right to Buy Common Stock) | $ 2.24 | (5) | 02/21/2027 | Common Stock | 40,000 | 40,000 | D | ||||||||
Restricted Stock Units | (4) | (4) | (4) | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Option (Right to Buy Common Stock) | $ 4.28 | (6) | 04/28/2026 | Common Stock | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kaplan Myron C/O KLEINBERG, KAPLAN, WOLFF & COHEN, PC 551 FIFTH AVENUE, 18TH FLOOR NEW YORK, NY 10176 |
/s/ Alexander M. Donaldson, by power of attorney | 02/20/2018 | |
**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) | These options were granted on 2/16/2017. The options vest in full on the first anniversary of the date of grant, subject to continued service on the board. |
(2) | These Restricted Stock Units were granted on 2/16/2018. Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board. |
(3) | The restricted stock units were granted on 11/6/2017. Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of November 6, 2017, subject to continued service on the board. |
(4) | These Restricted Stock Units were granted on 2/21/2017. Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of February 21,2017, subject to continued service on the board. |
(5) | These options were granted on 2/21/2017. The options vest in full on the first anniversary of the date of grant, subject to continued service on the board. |
(6) | These options were granted on 4/28/2016. These options shall vest as follows: 1/3 on 4/28/2016, 1/3 on 4/28/2017, and 1/3 on 4/28/2018. |