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Tharimmune, Inc. — Director's Dealing 2022
Jan 20, 2022
34824_dirs_2022-01-20_ac3c8f16-3b0a-45b8-8d47-b30005a1f798.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Hillstream BioPharma Inc. (HILS)
CIK: 0001861657
Period of Report: 2022-01-14
Reporting Person: MILBY RANDY (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-01-14 | Common Stock | C | 8101 | $3.20 | Acquired | 2425825 | Direct |
| 2022-01-14 | Common Stock | C | 11325 | $3.20 | Acquired | 2437150 | Direct |
| 2022-01-14 | Common Stock | C | 3231 | $3.20 | Acquired | 2440381 | Direct |
| 2022-01-14 | Common Stock | C | 11545 | $3.20 | Acquired | 2451926 | Direct |
| 2022-01-14 | Common Stock | C | 29026 | $3.20 | Acquired | 2480952 | Direct |
| 2022-01-14 | Common Stock | C | 28366 | $3.20 | Acquired | 2509318 | Direct |
| 2022-01-14 | Common Stock | C | 19296 | $3.20 | Acquired | 2528614 | Direct |
| 2022-01-14 | Common Stock | C | 9639 | $3.20 | Acquired | 2538253 | Direct |
| 2022-01-14 | Common Stock | C | 22420 | $3.20 | Acquired | 2560673 | Direct |
| 2022-01-14 | Common Stock | C | 35175 | $3.20 | Acquired | 2595848 | Direct |
| 2022-01-14 | Common Stock | C | 26325 | $3.20 | Acquired | 2622173 | Direct |
| 2022-01-14 | Common Stock | C | 9572 | $3.20 | Acquired | 2631745 | Direct |
| 2022-01-14 | Common Stock | C | 31204 | $3.20 | Acquired | 2662949 | Direct |
| 2022-01-14 | Common Stock | C | 31064 | $3.20 | Acquired | 2694013 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (8101) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (11325) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (3231) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (11545) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (29026) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (28366) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (19296) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (9639) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (22420) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (35175) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (26325) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (9572) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (31204) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (31064) | Direct | ||
| 2022-01-14 | Options (right to purchase) | $4 | A | 757575 | Acquired | 2032-01-14 | Common stock (757575) | Direct |
Footnotes
F1: On April 19, 2021, the Registrant issued the Reporting Person a $25,000 note which matures on the earlier of (i) April 19, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F2: On April 30, 2021, the Registrant issued the Reporting Person a $35,000 note which matures on the earlier of (i) April 30, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F3: On May 10, 2021, the Registrant issued the Reporting Person a $10,000 note which matures on the earlier of (i) May 10, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon shall converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F4: On May 15, 2021, the Registrant issued the Reporting Person a $35,750 note which matures on the earlier of (i) May 15, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F5: On May 25, 2021, the Registrant issued the Reporting Person a $90,000 note which matures on the earlier of (i) May 25, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F6: On May 29, 2021, the Registrant issued the Reporting Person an $88,000 note which matures on the earlier of (i) May 29, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F7: On June 14, 2021, the Registrant issued the Reporting Person a $59,990 note which matures on the earlier of (i) June 14, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F8: On June 22, 2021, the Registrant issued the Reporting Person a $30,000 note which matures on the earlier of (i) June 22, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F9: On July 16, 2021, the Registrant issued the Reporting Person a $70,000 note which matures on the earlier of (i) July 17, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F10: On July 28, 2021, the Registrant issued the Reporting Person a $110,000 note which matures on the earlier of (i) July 28, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F11: On August 13, 2021, the Registrant issued the Reporting Person an $82,500 note which matures on the earlier of (i) August 13, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F12: On October 14, 2021, the Registrant issued the Reporting Person a $30,250 note which matures on the earlier of (i) October 14, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F13: On November 12, 2021, the Registrant issued the Reporting Person a $99,000 note which matures on the earlier of (i) November 12, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F14: On December 15, 2021, the Registrant issued the Reporting Person a $99,000 note which matures on the earlier of (i) December 15, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the note together with accrued interest thereon automatically converts into the type of Equity Securities (as defined therein) issued in the Next Equity Financing. Pursuant to the terms of the note, because the Registrant's initial public offering qualified as a Next Equity Financing, the note automatically converted into shares of the Registrant's common stock.
F15: The Registrant issued the Reporting Person options on January 14, 2022. The options vest over a 48 month period commencing 12 months after the date of grant.