3: Initial statement of beneficial ownership of securities
Published on April 1, 2020
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 | ||||
Share Option (Right to Buy) | (1) | 07/02/2028 | Common Shares | 300,000 | $ 0.77 (5) | D | |
Share Option (Right to Buy) | (2) | 04/15/2029 | Common Shares | 34,000 | $ 1.28 (5) | D | |
Share Option (Right to Buy) | (3) | 04/15/2029 | Common Shares | 116,000 | $ 1.28 (5) | D | |
Share Option (Right to Buy) | (4) | 03/31/2030 | Common Shares | 587,000 | $ 0.53 (5) | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Groch Brian J. C/O ACASTI PHARMA INC. 545 PROMENADE DU CENTROPOLIS, SUITE 100 LAVAL, A8 H7T 0A3 |
CHIEF COMMERCIAL OFFICER |
Signatures
/s/ Kelsey Weiner, Attorney-in-Fact | 04/01/2020 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | Represents 300,000 common shares underlying 300,000 share options granted on July 2, 2018. These share options vest in 12 equal installments on a quarterly basis starting from July 2, 2018 until July 2, 2021. |
(2) | Represents 34,000 common shares underlying 34,000 share options granted on April 15, 2019. These share options vest in 12 equal installments on a quarterly basis starting from April 15, 2019 until April 15, 2022. |
(3) | Represents 116,000 common shares underlying 116,000 share options granted on April 15, 2019. These share options vest in 12 equal installments on a quarterly basis starting from April 15, 2019 until April 15, 2022. |
(4) | Represents 587,000 common shares underlying 587,000 share options granted on March 31, 2020. These share options vest in 12 equal installments on a quarterly basis starting from March 31, 2020 until March 31, 2023. |
(5) | Canadian dollars. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |