UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (1) | 07/25/2016 | Common Stock | 52,990 | $ 0.65 | D | |
Stock Option (right to buy) | (1) | 01/10/2017 | Common Stock | 22,803 | $ 0.65 | D | |
Stock Option (right to buy) | (1) | 04/15/2018 | Common Stock | 27,803 | $ 0.65 | D | |
Stock Option (right to buy) | (1) | 01/23/2019 | Common Stock | 2,157 | $ 0.65 | D | |
Stock Option (right to buy) | (1) | 01/23/2019 | Common Stock | 278 | $ 0.65 | D | |
Stock Option (right to buy) | (1) | 01/29/2020 | Common Stock | 54,009 | $ 0.65 | D | |
Stock Option (right to buy) | (1) | 06/25/2020 | Common Stock | 34,672 | $ 0.65 | D | |
Stock Option (right to buy) | (1) | 01/14/2021 | Common Stock | 4,554 | $ 0.65 | D | |
Stock Option (right to buy) | (1) | 01/14/2021 | Common Stock | 47,439 | $ 0.65 | D | |
Stock Option (right to buy) | (2) | 12/23/2022 | Common Stock | 10,929 | $ 0.65 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FROM STEPHEN C/O EYEGATE PHARMACEUTICALS, INC. 271 WAVERLEY OAKS ROAD, SUITE 108 WALTHAM, MA 02452 |
X | President and CEO |
/s/ Authorized Signatory* | 02/12/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Immediately exercisable. |
(2) | The option became exercisable as to 33% of the shares underlying the option on Dec. 23, 2013 with 2.79% of the shares underlying the option vesting monthly thereafter. |
Remarks: *Signed under power of attorney on behalf of Reporting Person |