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NANOVIRICIDES, INC. — Director's Dealing 2014
Sep 9, 2014
34915_dirs_2014-09-08_5efa78de-d5e5-4825-b32c-eddf93f7ab86.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NANOVIRICIDES, INC. (NNVC)
CIK: 0001379006
Period of Report: 2014-09-05
Reporting Person: Diwan Anil (Director, President, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-08-25 | Common Stock, par value $0.001 per share | P | 28571 | $3.50 | Acquired | 2044918 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-08-25 | Common Stock Warrants | $3.50 | X | 28571 | Disposed | 2014-08-15 | Common Stock (28571) | Indirect |
Footnotes
F1: Includes 285,714 shares issuable upon exercise of options. Does not include 1,750,000 shares of common stock underlying 500,000 shares of the Company's Series A Convertible Preferred Stock ("Series A") convertible into three and one half shares of Common Stock solely upon a change in control of the Company or upon achieving certain trading prices or 9,531,429 shares of common stock and 2,000,000 shares of Series A owned by TheraCour Pharma, Inc., over which Dr. Diwan holds voting and dispositive power.
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