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NANOVIRICIDES, INC. — Director's Dealing 2014
Jul 19, 2014
34915_dirs_2014-07-18_9db898ed-4649-4f72-a8b0-62f5f1a167e5.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: 2014-07-02
Reporting Person: BONIUK MILTON (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-07-17 | Common Stock, par value $0.001 | P | 28572 | $3.50 | Acquired | 658963 | Direct |
| 2014-07-17 | Common Stock, par value $0.001 | P | 28572 | $3.50 | Acquired | 314286 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-07-02 | 10% Coupon Series C Convertible Debenture | $5.25 | A | 1 | Acquired | Common Stock (952381) | Indirect | |
| 2014-07-11 | Series A Convertible Preferred Stock | $0 | A | 187000 | Acquired | Common Stock (654500) | Indirect |
Footnotes
F1: The shares of common stock were acquired upon exercise of warrants issued to the Reporting Person on September 11, 2013.
F2: Held by the Reporting Person and his wife Laurie Boniuk.
F3: Does not include warrants to purchase an additional 542,856 shares of common stock, 314,286 shares of common stock held in the name of Boniuk Interests, Ltd., warrants to purchase an additional 257,142 shares of common stock held in the name of Boniuk Interests, Ltd., 190,477 shares of common stock held by Boniuk Charitable Foundation, 100 shares of common stock issuable upon exercise of warrants that are currently exercisable, an indeterminate number of shares of common stock issuable upon conversion of debentures held by Boniuk Interests Ltd. and Boniuk Charitable Foundation that are currently exercisable, 952,381 shares of common stock issuable upon conversion of a debenture and 654,500 shares of common stock underlying shares of Series A Preferred Stock which are not readily exercisable held by Milton Boniuk IRA.
F4: See Note 3 regarding the explanation of the Reporting Person's other holdings of the Issuer's securities
F5: The securities are presently exercisable.
F6: The derivative securities do not expire.