Statement of Changes in Beneficial Ownership (4)
24 1월 2015 - 6:54AM
Edgar (US Regulatory)
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FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
Moorin Jay
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2. Issuer Name
and
Ticker or Trading Symbol
AGILE THERAPEUTICS INC
[
AGRX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O PROQUEST INVESTMENTS, 2430 VANDERBILT BEACH ROAD, #108 - 190
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/23/2015
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(Street)
NAPLES, FL 34109
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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1/23/2015
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P
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811966
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A
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$5.85
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4668663
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I
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See footnote
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock options (right to buy)
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$6.00
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(2)
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5/21/2024
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Common Stock
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21000
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21000
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I
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See footnote
(3)
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Explanation of Responses:
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(
1)
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Of such shares, 3,103,488 are owned by ProQuest Investments III, L.P. ("Investments III"), of which ProQuest Associates III LLC ("Associates III") is the general partner, and 1,565,175 are owned by ProQuest Investments IV, L.P., ("Investments IV"), of which ProQuest Associates IV LLC ("Associates IV") is the general partner. Jay Moorin and Alain Schreiber are managing members of Associates III and Associates IV. Each individual managing member disclaims beneficial ownership of these shares, except to the extent of their pecuniary interest in such shares.
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(
2)
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One-third of such options will vest on May 22 of each of 2015, 2016 and 2017.
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(
3)
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Such options are held by ProQuest Management, L.L.C., of which Messrs. Moorin and Schreiber are managing members.Each individual managing member disclaims beneficial ownership of these shares, except to the extent of their pecuniary interest in such shares.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Moorin Jay
C/O PROQUEST INVESTMENTS
2430 VANDERBILT BEACH ROAD, #108 - 190
NAPLES, FL 34109
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X
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SCHREIBER ALAIN
C/O PROQUEST INVESTMENTS
2430 VANDERBILT BEACH ROAD, #108 - 190
NAPLES, FL 34109
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X
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ProQuest Investments III, L.P.
2430 VANDERBILT BEACH ROAD, #108 - 190
NAPLES, FL 34109
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X
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ProQuest Associates III LLC
2430 VANDERBILT BEACH ROAD, #108 - 190
NAPLES, FL 34109
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X
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ProQuest Investments IV, L.P.
2430 VANDERBILT BEACH ROAD, #108 - 190
NAPLES, FL 34109
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X
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ProQuest Associates IV LLC
2430 VANDERBILT BEACH ROAD, #108 - 190
NAPLES, FL 34109
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X
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Signatures
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/s/ Pasquale DeAngelis
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1/23/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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Agile Therapeutics (NASDAQ:AGRX)
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Agile Therapeutics (NASDAQ:AGRX)
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부터 7월(7) 2023 으로 7월(7) 2024
