Scott John K Jr. 4

4 · NAVIDEA BIOPHARMACEUTICALS, INC. · Filed May 3, 2022

Form 4

Period: 2022-04-10

10% Owner

Transactions

Purchase
Series G Redeemable Preferred Stock
2022-04-10+3,260→ 3,260 total
Sale
Series E Redeemable Convertible Preferred Stock
2022-04-10$2.30/sh−50,000$115,000→ 0 total
Exercise: $2.30From: 2021-03-02Exp: 2022-09-02→ Common Stock (2,173,913 underlying)
Purchase
Series F Redeemable Convertible Preferred Stock
2022-04-10$0.80/sh+1,740$1,392→ 1,740 total
Exercise: $0.80From: 2022-04-10→ Common Stock (2,175,000 underlying)
Award
Common Stock
2022-04-30+2,500→ 8,093,395 total

Holdings

Footnotes (5)

[F1]Stock issued under the Amended and Restated 2014 Stock Incentive Plan in partial payment of monthly non-employee director fees.
[F2]Issuance deferred at the request of the Reporting Person.
[F3]Includes 2,639 shares of Common Stock owned by the Reporting Person's spouse and 7,500 shares of Common Stock owned by the Reporting Person's children. The Reporting Person may be deemed to have shared voting and/or dispositive power with respect to such shares.
[F4]Series E Redeemable Convertible Preferred Stock, par value $.001 per share, was exchanged for Series F Redeemable Convertible Preferred Stock, par value $.001 per share, and Series G Redeemable Preferred Stock, par value $.001 per share.
[F5]Series F Redeemable Convertible Preferred Stock, par value $.001 per share, is convertible at any time and has no expiration date.

Documents

1 file