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4//SEC Filing

Newman James W. Jr. 4

Accession 0001213900-18-015554

CIK 0001513525other

View on SEC.gov Company Profile

Filed

Nov 12, 7:00 PM ET

Accepted

Nov 13, 6:47 PM ET

Size

17.7 KB

Accession

0001213900-18-015554

Insider Transaction Report

Form 4

Period: 2018-11-12

ADIAL PHARMACEUTICALS, INC.ADIL

Newman James W. Jr.

Director

Transactions

Other
Warrant to purchase common stock
2018-11-12+20,000→ 20,000 total(indirect: By LLC)
Exercise: $5.00From: 2018-11-12Exp: 2023-07-31→ Common Stock (20,000 underlying)
Other
Warrant to purchase units
2018-11-12−92,000→ 0 total(indirect: By LLC)
Exercise: $5.00From: 2018-07-31Exp: 2023-07-31→ Units (184,000 underlying)
Other
Warrant to purchase common stock
2018-11-12+92,000→ 92,000 total(indirect: By LLC)
Exercise: $5.00From: 2018-11-12Exp: 2023-07-31→ Common Stock (92,000 underlying)
Other
Warrant to purchase common stock
2018-11-12+92,000→ 92,000 total(indirect: By LLC)
Exercise: $6.25From: 2018-11-12Exp: 2023-07-31→ Common Stock (92,000 underlying)
Other
Warrant to purchase units
2018-11-12−20,000→ 0 total(indirect: By LLC)
Exercise: $5.00From: 2018-07-31Exp: 2023-07-31→ Units (40,000 underlying)
Other
Warrant to purchase common stock
2018-11-12+20,000→ 20,000 total(indirect: By LLC)
Exercise: $6.25From: 2018-11-12Exp: 2023-07-31→ Common Stock (20,000 underlying)

Footnotes (2)

[F1]On November 12, 2018, Ivy Cottage Group, LLC exchanged a warrant to purchase 20,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 20,000 shares of common stock. Mr. Newman is the general partner of Ivy Cottage Group, LLC.
[F2]On November 12, 2018, Virga Ventures, LLC exchanged a warrant to purchase 92,000 units, each unit consisting of a share of common stock and a warrant to purchase a share of common stock, for two separate warrants to purchase 92,000 shares of common stock. Mr. Newman is the sole member of Virga Ventures, LLC.

Documents

1 file

4
ownership.xmlPrimary

Issuer

ADIAL PHARMACEUTICALS, INC.

CIK 0001513525

Entity typeother

Related Parties

1

filerCIK 0001718364

Filing Metadata

Form type: 4
Filed: Nov 12, 7:00 PM ET
Accepted: Nov 13, 6:47 PM ET
Size: 17.7 KB

View on SEC.gov