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) | 06/01/2022 | Common Shares | 16,900 | $ 4.5 (10) | D | |
Share Option (Right to Buy) | (2) | 05/30/2023 | Common Shares | 31,400 | $ 1.99 (10) | D | |
Share Option (Right to Buy) | (3) | 02/24/2027 | Common Shares | 50,000 | $ 1.65 (10) | D | |
Share Option (Right to Buy) | (4) | 06/14/2027 | Common Shares | 93,000 | $ 1.77 (10) | D | |
Share Option (Right to Buy) | (5) | 06/14/2027 | Common Shares | 62,000 | $ 1.77 (10) | D | |
Share Option (Right to Buy) | (6) | 07/02/2028 | Common Shares | 365,515 | $ 0.77 (10) | D | |
Share Option (Right to Buy) | (7) | 04/15/2029 | Common Shares | 79,300 | $ 1.28 (10) | D | |
Share Option (Right to Buy) | (8) | 04/15/2029 | Common Shares | 270,700 | $ 1.28 (10) | D | |
Share Option (Right to Buy) | (9) | 03/31/2030 | Common Shares | 587,000 | $ 0.53 (10) | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lemieux Pierre C/O ACASTI PHARMA INC. 545 PROMENADE DU CENTROPOLIS, SUITE 100 LAVAL, A8 H7T 0A3 |
COO & CSO |
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 16,900 common shares underlying 16,900 share options granted on June 1, 2015. These share options vested in 12 equal installments on a quarterly basis starting from June 1, 2015 until June 1, 2018. |
(2) | Represents 31,400 common shares underlying 31,400 share options granted on May 30, 2016. These share options vested in 12 equal installments on a quarterly basis starting from May 30, 2016 until May 30, 2019. |
(3) | Represents 50,000 common shares underlying 50,000 share options granted on February 24, 2017. These share options vested in 12 equal installments on a quarterly basis starting from February 24, 2017 until February 24, 2020. |
(4) | Represents 93,000 common shares underlying 93,000 share options granted on June 14, 2017. These share options vest in 12 equal installments on a quarterly basis starting from June 14, 2017 until June 14, 2020. |
(5) | Represents 62,000 common shares underlying 62,000 share options granted on June 14, 2017. These share options vest in 12 equal installments on a quarterly basis starting from June 14, 2017 until June 14, 2020. |
(6) | Represents 365,515 common shares underlying 365,515 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. |
(7) | Represents 79,300 common shares underlying 79,300 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. |
(8) | Represents 270,700 common shares underlying 270,700 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. |
(9) | 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. |
(10) | Canadian dollars. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |