4//SEC Filing
Giljohann David A 4
Accession 0000899243-17-022831
CIK 0001698530other
Filed
Sep 27, 8:00 PM ET
Accepted
Sep 28, 9:42 PM ET
Size
21.6 KB
Accession
0000899243-17-022831
Insider Transaction Report
Form 4
Giljohann David A
DirectorChief Executive Officer
Transactions
- Award
Employee Stock Option (right to buy)
2017-09-26+496,489→ 496,489 totalExercise: $4.21Exp: 2027-01-04→ Common Stock (496,489 underlying) - Purchase
Common Stock
2017-09-26$3.00/sh+16,666$49,998→ 16,666 total - Award
Employee Stock Option (right to buy)
2017-09-26+24,824→ 24,824 totalExercise: $0.65From: 2016-11-20Exp: 2022-11-20→ Common Stock (24,824 underlying) - Award
Employee Stock Option (right to buy)
2017-09-26+24,824→ 24,824 totalExercise: $0.65From: 2016-12-31Exp: 2022-12-31→ Common Stock (24,824 underlying) - Award
Employee Stock Option (right to buy)
2017-09-26+248,372→ 248,372 totalExercise: $0.65Exp: 2024-01-29→ Common Stock (248,372 underlying) - Award
Employee Stock Option (right to buy)
2017-09-26+347,543→ 347,543 totalExercise: $1.03Exp: 2025-04-28→ Common Stock (347,543 underlying) - Award
Employee Stock Option (right to buy)
2017-09-26+709,145→ 709,145 totalExercise: $1.98Exp: 2025-11-24→ Common Stock (709,145 underlying)
Footnotes (6)
- [F1]Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").
- [F2]Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.
- [F3]This option vested 25% on January 29, 2015, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions
- [F4]This option vests in 48 substantially equal monthly installments from February 20, 2015, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions
- [F5]This option vests in 48 substantially equal monthly installments from November 24, 2015, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions
- [F6]This option vests in 48 substantially equal monthly installments from December 15, 2016, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions
Documents
Issuer
Max-1 Acquisition Corp
CIK 0001698530
Entity typeother
Related Parties
1- filerCIK 0001697932
Filing Metadata
- Form type
- 4
- Filed
- Sep 27, 8:00 PM ET
- Accepted
- Sep 28, 9:42 PM ET
- Size
- 21.6 KB