Aggarwal Gaurav 4
4 · Unicycive Therapeutics, Inc. · Filed Oct 10, 2024
Insider Transaction Report
Form 4
Aggarwal Gaurav
Director
Transactions
- Disposition to Issuer
Series A-2 Prime Preferred Stock
2024-10-09$1000.00/sh−2,695$2,695,000→ 3,885.21 total(indirect: By Vivo Opportunity Fund Holdings L.P.)Exercise: $0.49→ Common Stock (5,500,000 underlying) - Conversion
Common Stock
2024-10-09+5,500,000→ 9,970,152 total(indirect: By Vivo Opportunity Fund Holdings L.P.)
Footnotes (3)
- [F1]Each share of Series A-2 Prime Preferred Stock is convertible into a number of shares of Common Stock obtained by dividing the Original Per Share Price ($1,000) by $0.49, subject to blocking provisions. Capitalized terms used but not defined herein shall have the meanings set forth in the Amended and Restated Certificate of Designation of Series A Convertible Voting Preferred Stock, filed as an exhibit to the Issuer's Periodic Report on Form 8-K on March 14, 2024.
- [F2]Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- [F3]The shares of Series A-2 Prime Preferred Stock were issued on March 14, 2024 and do not have an expiration date.