AI assistant
Tharimmune, Inc. — Director's Dealing 2022
Jan 20, 2022
34824_dirs_2022-01-20_6f5ba0dd-cab1-4cf2-bfcd-c5b4115a5d21.zip
Director's Dealing
Open in viewerOpens in your device viewer
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 | 14942 | $3.20 | Acquired | 2171992 | Direct |
| 2022-01-14 | Common Stock | C | 23205 | $3.20 | Acquired | 2195197 | Direct |
| 2022-01-14 | Common Stock | C | 406 | $3.20 | Acquired | 2195603 | Direct |
| 2022-01-14 | Common Stock | C | 23187 | $3.20 | Acquired | 2218790 | Direct |
| 2022-01-14 | Common Stock | C | 16528 | $3.20 | Acquired | 2235318 | Direct |
| 2022-01-14 | Common Stock | C | 15824 | $3.20 | Acquired | 2251142 | Direct |
| 2022-01-14 | Common Stock | C | 6587 | $3.20 | Acquired | 2257729 | Direct |
| 2022-01-14 | Common Stock | C | 16453 | $3.20 | Acquired | 2274182 | Direct |
| 2022-01-14 | Common Stock | C | 21653 | $3.20 | Acquired | 2295835 | Direct |
| 2022-01-14 | Common Stock | C | 13111 | $3.20 | Acquired | 2308946 | Direct |
| 2022-01-14 | Common Stock | C | 24541 | $3.20 | Acquired | 2333487 | Direct |
| 2022-01-14 | Common Stock | C | 19613 | $3.20 | Acquired | 2353100 | Direct |
| 2022-01-14 | Common Stock | C | 22327 | $3.20 | Acquired | 2375427 | Direct |
| 2022-01-14 | Common Stock | C | 24425 | $3.20 | Acquired | 2399852 | Direct |
| 2022-01-14 | Common Stock | C | 17872 | $3.20 | Acquired | 2417724 | 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 (14942) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (23205) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (406) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (23187) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (16528) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (15824) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (6587) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (16453) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (21653) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (13111) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (24541) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (19613) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (22327) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (24425) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (17872) | Direct |
Footnotes
F1: On October 14, 2020, the Registrant issued the Reporting Person a $45,000 note which matures on the earlier of (i) October 14, 2022 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 October 27, 2020, the Registrant issued the Reporting Person notes in the aggregate principal amount of $70,000. The notes mature on the earlier of (i) October 27, 2022 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the notes 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 November 1, 2020, the Registrant issued the Reporting Person a $1,225.37 note which matures on the earlier of (i) November 1, 2022 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.
F4: On November 2, 2020, the Registrant issued the Reporting Person a $70,000 note which matures on the earlier of (i) November 2, 2022 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 November 18, 2020, the Registrant issued the Reporting Person a $50,000 note which matures on the earlier of (i) November 18, 2022 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 December 9, 2020, the Registrant issued the Reporting Person a $48,000 note which matures on the earlier of (i) December 9, 2023 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 December 16, 2020, the Registrant issued the Reporting Person a $20,000 note which matures on the earlier of (i) December 16, 2023 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 December 23, 2020, the Registrant issued the Reporting Person a $50,000 note which matures on the earlier of (i) December 23, 2023 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 January 15, 2021, the Registrant issued the Reporting Person a $66,000 note which matures on the earlier of (i) January 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.
F10: On January 22, 2021, the Registrant issued the Reporting Person a $40,000 note which matures on the earlier of (i) January 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.
F11: On February 4, 2021, the Registrant issued the Reporting Person a $75,000 note which matures on the earlier of (i) February 4, 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 February 12, 2021, the Registrant issued the Reporting Person a $60,000 note which matures on the earlier of (i) February 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.
F13: On March 3, 2021, the Registrant issued the Reporting Person notes in the aggregate principal amount of $68,476.50. The notes mature on the earlier of (i) March 3, 2024 and (ii) the closing of the Next Equity Financing (as defined therein). The principal amount of the notes 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 March 12, 2021, the Registrant issued the Reporting Person a $75,000 note which matures on the earlier of (i) March 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.
F15: On March 29, 2021, the Registrant issued the Reporting Person a $55,000 note which matures on the earlier of (i) March 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.