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KIORA PHARMACEUTICALS INC — Director's Dealing 2018
Apr 17, 2018
35256_dirs_2018-04-17_6d462bb6-3e6e-48af-b826-157aae00e3e5.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: EYEGATE PHARMACEUTICALS INC (EYEG)
CIK: 0001372514
Period of Report: 2018-04-13
Reporting Person: ARMISTICE CAPITAL, LLC (10% Owner)
Reporting Person: Armistice Capital Master Fund Ltd. (10% Owner)
Reporting Person: Boyd Steven (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.01 par value | 3232530 | Direct |
| Common Stock, $0.01 par value | 3232530 | Indirect |
| Common Stock, $0.01 par value | 3232530 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants | $1.50 | 2022-06-14 | Common Stock (2000000) | Direct | |
| Warrants | $1.50 | 2022-06-14 | Common Stock (2000000) | Indirect | |
| Warrants | $1.50 | 2022-06-14 | Common Stock (2000000) | Indirect | |
| Warrants | $0.32 | 2023-04-17 | Common Stock (15937500) | Direct | |
| Warrants | $0.32 | 2023-04-17 | Common Stock (15937500) | Indirect | |
| Warrants | $0.32 | 2023-04-17 | Common Stock (15937500) | Indirect | |
| Series C Convertible Preferred Stock | $0.32 | Common Stock (12787500) | Direct | ||
| Series C Convertible Preferred Stock | $0.32 | Common Stock (12787500) | Indirect | ||
| Series C Convertible Preferred Stock | $0.32 | Common Stock (12787500) | Indirect |
Footnotes
F1: The reported securities are directly owned by Armistice Capital Master Fund, Ltd.
F2: The reported securities are directly owned by Armistice Capital Master Fund, Ltd., a Cayman Islands corporation, and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of Armistice Capital Master Fund, Ltd. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC and Director of Armistice Capital Master Fund, Ltd.
F3: These warrants are currently excercisable, subject to a blocker provision that prevents Armistice Capital Master Fund, Ltd.from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise.
F4: These warrants are currently excercisable, subject to a blocker provision that prevents Armistice Capital Master Fund, Ltd.from exercising the warrants if it would be more than a 9.99% beneficial owner of the Common Shares following such exercise.
F5: The Series C Convertible Preferred Stock has no expiration date and is convertible at any time at the option of Armistice Capital Master Fund, Ltd., subject to a blocker provision that prevents Armistice Capital Master Fund, Ltd.from converting the Series C Convertible Preferred Stock into Common Shares if it would be more than a 4.99% beneficial owner of the Common Shares following such conversion.