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ProPhase Labs, Inc. — Director's Dealing 2013
Dec 20, 2013
34999_dirs_2013-12-20_938b3132-8b16-4044-9323-5829ae922ec5.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ProPhase Labs, Inc. (PRPH)
CIK: 0000868278
Period of Report: 2013-12-19
Reporting Person: Karkus Ted William (Director, CEO & Chairman, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-19 | Common Stock, par value $0.0005 | A | 50000 | $0.00 | Acquired | 1664588 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-19 | Option (right to buy) | $1.65 | A | 100000 | Acquired | 2019-12-18 | Common Stock (100000) | Direct |
Footnotes
F1: The transaction reported in the row involves a grant by the Issuer to the Reporting Person of the Issuer's common stock pursuant to an award agreement between the Issuer and the Reporting Person, dated as of December 19, 2013.
F2: The transaction reported in the row involves a grant by the Issuer to the Reporting Person of options to purchase the Issuer's common stock that will vest in two annual installments beginning December 19, 2014, as detailed in a stock option award agreement between the Issuer and the Reporting Person, dated as of December 19, 2013.