SHOGHI ALEXANDER 4
4 · iANTHUS CAPITAL HOLDINGS, INC. · Filed May 31, 2023
Insider Transaction Report
Form 4
SHOGHI ALEXANDER
Director
Transactions
- Exercise/Conversion
Restricted Stock Units
2022-10-03−1,960,785→ 4,460,785 total→ Common Stock (1,960,785 underlying) - Award
Common Stock
2022-10-03+1,960,785→ 3,960,785 total - Award
Common Stock
2023-05-26$0.02/sh+600,000$12,960→ 4,560,785 total
Footnotes (4)
- [F1]Represents the issuance of the shares underlying the initial vested portion of the grant of restricted stock units to the Reporting Person on September 19, 2022.
- [F2]Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock following vesting.
- [F3]This transaction was executed in multiple trades at prices ranging from $0.02 to $0.0236; the price reported above reflects the volume-weighted average purchase price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these trades were effected upon request to the SEC staff, the Issuer or a security holder of the Issuer.
- [F4]The restricted stock units referenced in Column 9 were granted pursuant to the Issuer's Amended and Restated Omnibus Equity Incentive Plan dated October 15, 2018. Such restricted stock units will vest on the first anniversary of the date of grant, subject to the Reporting Person's continued service with the Issuer.