Statement of Changes in Beneficial Ownership (4)
23 9월 2015 - 6:44AM
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
*
Cohen Mark S
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2. Issuer Name
and
Ticker or Trading Symbol
Akari Therapeutics Plc
[
AKTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O AKARI THERAPEUTICS PLC, 24 WEST 40TH STREET, 8TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/18/2015
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(Street)
NEW YORK, NY 10018
(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)
_
X
_ Form filed by One Reporting Person
___ 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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Ordinary Shares
(1)
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9/18/2015
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P
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1055600
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A
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$0.1895
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1055600
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D
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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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Options to Purchase Ordinary Shares
(2)
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$0.3221
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9/21/2015
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A
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85000
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9/21/2016
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9/21/2025
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Ordinary Shares
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85000
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$0
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85000
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D
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Options to Purchase Ordinary Shares
(2)
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$0.3221
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9/21/2015
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A
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186278
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9/21/2016
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9/21/2025
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Ordinary Shares
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186278
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$0
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186278
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D
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Explanation of Responses:
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(
1)
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The Company's American Depository Shares ("ADSs"), which began trading on The NASDAQ Capital Market under the symbol "AKTX" commencing on September 21, 2015, each represent 100 Ordinary Shares (giving effect to a previously announced ADS ratio change). The non-derivative and derivative equity securities described herein are listed in terms of Ordinary Shares rather than ADSs.
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(
2)
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All shares underlying the options will vest on September 21, 2016 and expire 10 years from issuance.
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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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Cohen Mark S
C/O AKARI THERAPEUTICS PLC
24 WEST 40TH STREET, 8TH FLOOR
NEW YORK, NY 10018
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X
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Signatures
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/s/ Dov Elefant, as attorney-in-fact
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9/22/2015
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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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Akari Therapeutics Plc (NASDAQ:CLTX)
과거 데이터 주식 차트
부터 10월(10) 2024 으로 11월(11) 2024
Akari Therapeutics Plc (NASDAQ:CLTX)
과거 데이터 주식 차트
부터 11월(11) 2023 으로 11월(11) 2024
