Friday, November 09, 2018 5:32:31 PM
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned1.Title of Security
(Instr. 3)2. Trans. Date2A. Deemed Execution Date, if any3. Trans. Code
(Instr. 8)4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)7. Nature of Indirect Beneficial Ownership (Instr. 4)CodeVAmount(A) or (D)PriceCommon Stock 10/24/2018 A 10465426 A (1)13805760 D
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)1. Title of Derivate Security
(Instr. 3)2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of SharesWarrants $0.01 10/24/2018 A 5232713 10/24/2018 10/24/2020 Common Stock 5232713 (1)5232713 D
Options $0.014 10/24/2018 A 24360455 10/24/2018 10/24/2025 Common Stock 24360455 (2)29593168 D
Explanation of Responses:(1) Represents securities issued in lieu of cash owed to the Reporting Person for past services rendered to the Issuer in his capacity as Chief Financial Officer.(2) Represents securities issued to the Reporting Person as a bonus for services rendered to the Issuer in his capacity as Chief Financial Officer.
Recent RDGL News
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