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ProPhase Labs, Inc. — Director's Dealing 2023
Apr 4, 2023
34999_dirs_2023-04-04_6851f57b-fc86-47a9-b8e4-981c4c47efc7.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: 2023-04-03
Reporting Person: Karkus Ted William (Director, CEO & CHAIRMAN, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-04-03 | Common Stock, par value $0.005 | G | 100000 | $0.00 | Disposed | 3483750 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-04-03 | Option (right to buy) | $9.00 | A | 500000 | Acquired | 2031-04-02 | Common Stock (500000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $0.005 | 100000 | Indirect |
Footnotes
F1: This transaction involved a gift of securities by the Reporting Person to his son, who does not share the Reporting Person's household.
F2: Shares held by Reporting Person's son, who shares the Reporting Person's household.
F3: The transaction reported in this row involves a grant by the Issuer to the Reporting Person of options to purchase the Issuer's common stock that will vest in five equal annual installments beginning April 3, 2024, subject to the Reporting Person's continued employment with the Issuer on each vesting date.