Edge Therapeutics, Inc. 4

Accession 0001140361-15-037190

$PDSBCIK 0001472091operating

Filed

Oct 7, 8:00 PM ET

Accepted

Oct 8, 4:18 PM ET

Size

27.1 KB

Accession

0001140361-15-037190

Form 4

Period: 2015-10-06

Director

Transactions

Conversion
Series A Convertible Preferred Stock
2015-10-06−220,000→ 0 total
→ Common Stock (160,810 underlying)
Conversion
Series B Convertible Preferred Stock
2015-10-06−20,000→ 0 total(indirect: By Trust)
→ Common Stock (14,619 underlying)
Conversion
Series B Convertible Preferred Stock
2015-10-06−224,000→ 0 total
→ Common Stock (163,731 underlying)
Conversion
Common Stock
2015-10-06+29,238→ 29,238 total(indirect: By Trust)
Conversion
Series B Convertible Preferred Stock
2015-10-06−20,000→ 0 total(indirect: By Trust)
→ Common Stock (14,619 underlying)
Conversion
Common Stock
2015-10-06+14,619→ 14,619 total(indirect: By Trust)
Conversion
Series B Convertible Preferred Stock
2015-10-06−40,000→ 0 total(indirect: By Trust)
→ Common Stock (29,238 underlying)
Conversion
Series B Convertible Preferred Stock
2015-10-06−1,080,000→ 0 total(indirect: By LLC)
→ Common Stock (789,420 underlying)
Conversion
Common Stock
2015-10-06+160,810→ 160,810 total
Conversion
Common Stock
2015-10-06+163,731→ 324,541 total
Conversion
Common Stock
2015-10-06+789,420→ 789,420 total(indirect: By LLC)
Conversion
Common Stock
2015-10-06+14,619→ 14,619 total(indirect: By Trust)

Footnotes (5)

[F1]The convertible preferred stock converted into the Issuer's common stock at a conversion ratio, as adjusted to give effect to the Issuer's 1-for-1.3681 reverse stock split effected on September 21, 2015, of one share of common stock for every 1.3681 shares of preferred stock immediately prior to the closing of the Issuer's initial public offering of common stock, and had no expiration date.
[F2]Held directly by the Austin Conti Trust, of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
[F3]Held directly by the Brooke Conti Trust, of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
[F4]Held directly by the Hunter Conti Trust, of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
[F5]The Reporting Person has sole voting and dispositive power over the shares held by Oakwood Capital, LLC and may be deemed to beneficially own these shares. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Documents

1 file

Edge Therapeutics, Inc.

CIK 0001472091

Entity typeoperating

IncorporatedDE