Scott John K Jr. 4
4 · NAVIDEA BIOPHARMACEUTICALS, INC. · Filed Jun 15, 2023
Insider Transaction Report
Form 4
Scott John K Jr.
10% Owner
Transactions
- Other
Series G Redeemable Preferred Stock
2023-06-01−990→ 2,270 total - Award
Common Stock
2023-06-05+11,508,672→ 19,555,832 total - Purchase
Series J Convertible Preferred Stock
2023-06-01$100.00/sh+11,969$1,196,900→ 11,969 totalExercise: $0.10From: 2023-06-01→ Common Stock (11,508,672 underlying) - Conversion
Series J Convertible Preferred Stock
2023-06-05$100.00/sh−11,969$1,196,900→ 0 totalExercise: $0.10From: 2023-06-01→ Common Stock (11,508,672 underlying)
Holdings
- 10,139(indirect: By Spouse)
Common Stock
Footnotes (5)
- [F1]Navidea entered into a Stock Exchange Agreement with the Reporting Person, pursuant to which he surrendered 990 shares of Series G Redeemable Preferred Stock, par value $.001 per share, and $68,853.22 of accrued and unpaid dividends thereon in exchange for 11,969 shares of Series J Convertible Preferred Stock, par value $.001 per share.
- [F2]Series J Convertible Preferred Stock, par value $.001 per share was converted into Common Stock.
- [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 tohave shared voting and/or dispositive power with respect to such shares.
- [F4]Series J Convertible Preferred Stock, par value $.001 per share, is convertible at any time and has no expiration date.
- [F5]The Reporting Person converted 11,969 shares of Series J Convertible Preferred Stock, par value $.001 per share, into 11,508,672 shares of Common Stock.