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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) | $ 0.68 | 10/21/2016 | M(1) | 20,000 | (3) | 12/05/2022 | Common Stock, $0.001 par value per share | 20,000 | $ 0 | 80,000 | D | ||||
Stock Option (right to buy) | $ 3.125 | (4) | 03/30/2020 | Common Stock, $0.001 par value per share | 20,000 | 20,000 | D | ||||||||
Stock Option (right to buy) | $ 2.1 | (5) | 01/14/2021 | Common Stock, $0.001 par value per share | 30,000 | 30,000 | D | ||||||||
Stock Option (right to buy) | $ 0.9 | (6) | 03/22/2023 | Common Stock, $0.001 par value per share | 210,000 | 210,000 | D | ||||||||
Stock Option (right to buy) | $ 2.02 | (7) | 01/09/2024 | Common Stock, $0.001 par value per share | 30,000 | 30,000 | D | ||||||||
Stock Option (right to buy) | $ 2.02 | (8) | 01/09/2024 | Common Stock, $0.001 par value per share | 100,000 | 100,000 | D | ||||||||
Stock Option (right to buy) | $ 2.27 | (9) | 04/01/2024 | Common Stock, $0.001 par value per share | 100,000 | 100,000 | D | ||||||||
Stock Option (right to buy) | $ 5 | (10) | 02/24/2025 | Common Stock, $0.001 par value per share | 75,000 | 75,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pfaffle Antony C/O CORMEDIX INC. 1430 US HIGHWAY 206, SUITE 200 BEDMINSTER, NJ 07921 |
X | Chief Scientific Officer |
/s/ Alexander M. Donaldson, with a Power of Attorney for Antony E. Pfaffle, M.D. | 10/25/2016 | |
**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) | This exercise and sale was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on September 19, 2016. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.226 to $2.228, inclusive. |
(3) | These options vested as follows: (a) fifty percent (50%) on the date of the issuance of the CE mark certification, which occurred on July 5th, 2013, and (b) fifty percent (50%) on December 31, 2013. |
(4) | These options vested as follows: 1/3 on March 30, 2010; an additional 1/3 on March 30, 2011; and the remaining 1/3 on March 30, 2012. |
(5) | These options vested on January 14, 2012. |
(6) | These options vest based on performance milestones running through December 31, 2014. |
(7) | The options vest in full on the first anniversary of the date of grant. |
(8) | The options vested 100% on January 10, 2014. |
(9) | The options vested 100% on April 2, 2014. |
(10) | These options were granted on February 24, 2015, and vested immediately. |