Hallock Kenneth 4
4 · Greenwich LifeSciences, Inc. · Filed Sep 30, 2020
Insider Transaction Report
Form 4
Hallock Kenneth
Director
Transactions
- Exercise/Conversion
Common Stock
2020-09-29+18,727→ 294,822 total(indirect: see footnote) - Exercise/Conversion
Series B Preferred Stock
2020-09-29−18,727→ 0 total(indirect: see footnote)→ Common Stock (18,727 underlying) - Exercise/Conversion
Series D Preferred Stock
2020-09-29−79,121→ 0 total(indirect: see footnote)→ Common Stock (79,121 underlying) - Exercise/Conversion
Common Stock
2020-09-29+18,727→ 276,095 total(indirect: see footnote) - Exercise/Conversion
Common Stock
2020-09-29+79,121→ 386,671 total(indirect: see footnote) - Exercise/Conversion
Series C Preferred Stock
2020-09-29−18,727→ 0 total(indirect: see footnote)→ Common Stock (18,727 underlying) - Other
Series D Preferred Stock
2020-09-29+12,728→ 12,728 total(indirect: see footnote)→ Common Stock (12,728 underlying) - Exercise/Conversion
Series D Preferred Stock
2020-09-29−12,728→ 0 total(indirect: see footnote)→ Common Stock (12,728 underlying)
Footnotes (6)
- [F1]The securities are owned by the Kenneth and Annette Hallock Revocable Trust (the "Hallock Trust"). Kenneth Hallock, as co-Trustee of the Hallock Trust, shares voting and dispositive power over the securities held by such trust with his spouse.
- [F2]The Series B Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date.
- [F3]The Series C Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date.
- [F4]The Series D Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date.
- [F5]The Series D Preferred Stock have no expiration date and are convertible, at the option of the holder, into shares of common stock of the Issuer at the then-effective conversion rate for no additional consideration (subject to the payment of cash, if applicable, in lieu of any fractional shares in accordance with the Issuer's Amended and Restated Certificate of Incorporation, as amended (the "Certificate of Incorporation").
- [F6]The Reporting Person was issued additional shares of Series D Preferred Stock in connection with the Issuer's initial public offering as a result of the anti-dilution protection provisions set forth in the Issuer's Certificate of Incorporation.