Thursday, September 15, 2016 6:26:14 PM
Here is an outline of the outstanding warrants & their exercise prices all split adjusted:
A: 214,433 @ $1.20 Exp: 01/13/2020
A-1: 418,750 @ $1.20 Exp: 03/09/2020
C: 418,333 @ $6.00 Exp: 01/13/2020
D: 610,000 @ $9.00 Exp: Between 07/16/2020 and 08/13/2020 & 8/19/2020 and 09/09/2020
D-1: 416,667 @ $9.00 Exp: Between 08/19/2020 and 09/09/2020
E: 616,100 @ $15:00 Exp: Between 10/01/2020 and 11/12/2020 & 11/30/2020 and 12/09/2020
E-1: 418,750 @ $15.00 Exp: 6/6/2020
F: 583,334 @ $7.20 Exp: 8/11/2021
F-1: 416,667 @ $7.20 Exp: 8/11/2021
PIPE Warrants: 505,457 @ $6.00 Exp: 8/11/2021
Broker Warrants: 50,546 @ $4.80 Exp: 8/11/2021 (Based on yesterday’s volume I expect these to be gone (606,549 warrants before split which would account for most of the volume yesterday, IMO.)
*All warrants calculated from the most recent 10Q (https://www.sec.gov/Archives/edgar/data/1094038/000119312516682054/d157003d10q.htm)
According to the most recent 8k (https://www.sec.gov/Archives/edgar/data/1094038/000119312516710452/d259737d8k.htm) “there will be 5,642,917 shares of common stock reserved for issuance pursuant to options, warrants and other convertible securities.”
The above warrants come to a total of 4,669,035 which leaves 973,882 unaccounted for.
According to the latest 10K (https://www.sec.gov/Archives/edgar/data/1094038/000119312516541539/d106912d10k.htm) Glynn & all of the company Directors held 3,038,000 stock options. Split adjusted this comes out to 253,167. That brings the unaccounted for total down to 720,715.
On 7/18/2016 John Bonfiglio was awarded 750,000 stock options. Split adjusted comes out to 62,500 bringing the unaccounted for total to 658,215. (http://app.quotemedia.com/data/downloadFiling?webmasterId=102478&ref=11043255&type=HTML&symbol=TPIV&companyName=TapImmune+Inc.&formType=4&formDescription=Statement+of+changes+in+beneficial+ownership+of+securities&dateFiled=2016-07-19)
On 8/25/2016 new CFO, Michael Loiacono, was awarded 650,000 stock options. Split adjusted equals 54,167 which brings the unaccounted for total down to 604,048. (http://app.quotemedia.com/data/downloadFiling?webmasterId=102478&ref=11109372&type=HTML&symbol=TPIV&companyName=TapImmune+Inc.&formType=4&formDescription=Statement+of+changes+in+beneficial+ownership+of+securities&dateFiled=2016-08-25)
As of the last 13G filed by Empery Asset Management (https://www.sec.gov/Archives/edgar/data/1094038/000090266416004887/p16-0110sc13ga.htm) they had 1,886,792 warrants issued to them in 2014 that they are still holding. I don’t know if they have since sold them but if not then split adjusted this comes to 157,233. Our unaccounted for total is now 446,815.
I think this gets us close enough. I can’t find where the remaining 446,815 warrants, options, or other convertible securities are. My guess is that they are either stock options I was unable to find or residual warrants from any issue prior to 2014 (I did not look past the 2014 warrants issued to Empery so I don’t know if they issued any prior to then or not.)
Again, The A-1, D-1, E-1 & F-1 warrants were issued to Eastern Capital and upon exercise they are extremely limited as to when and how many shares they can sell. Either way I think most assume he is a long term holder and does not want to sell any shares anyways.
If Josh Silverman is elected to the Board of Directors as mentioned in a previous 8k then Iroquois will be restricted from selling their shares too since he is managing partner.
Finally, like always, if we get some good news that brings volume into the stock any shares being sold from warrant conversion will be bought up and the impact on the share price should be minimal.
Below are links to my prior posts on the warrant situations if you would like to see my initial DD:
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=121105185 Post Date: 3/10/2016
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=119149223 Post Date: 12/14/2015
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=118740621 Post Date: 11/24/2015
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