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ProPhase Labs, Inc. — Director's Dealing 2022
May 25, 2022
34999_dirs_2022-05-25_36f66bee-5e8e-4cd5-921e-a935bf2150f9.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: 2022-05-23
Reporting Person: Brady Monica L. (Chief Accounting Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-05-23 | Common Stock, par value $0.0005 | M | 25000 | $2.15 | Acquired | 32428 | Direct |
| 2022-05-23 | Common Stock, par value $0.0005 | M | 14250 | $3.18 | Acquired | 46678 | Direct |
| 2022-05-23 | Common Stock, par value $0.0005 | F | 11806 | $8.47 | Disposed | 34872 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-05-23 | Option (right to buy) | $2.15 | M | 25000 | Disposed | 2024-09-26 | Common Stock (25000) | Direct |
| 2022-05-23 | Option (right to buy) | $3.18 | M | 14250 | Disposed | 2025-12-03 | Common Stock (14250) | Direct |
Footnotes
F1: On May 23, 2022, the Reporting Person acquired net 27,444 shares of common stock upon the exercise of stock options to purchase 39,250 shares of common stock, less 11,806 shares of common stock withheld to cover the exercise price and applicable taxes.
F2: 25% of the shares subject to this option were vested and exercisable as of September 26, 2017, the date of grant, and the remaining 75% of the shares vested in three annual installments beginning on September 26, 2018.
F3: These options vest in four equal annual installments beginning December 4, 2019, as detailed in a stock option award agreement by and between the Issuer and the Reporting Person, dated as of December 4, 2018.