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Tharimmune, Inc. — Director's Dealing 2022
Jan 20, 2022
34824_dirs_2022-01-20_d1a5386e-08d6-4c27-975d-1e0fdbe42bf1.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 | 27479 | $3.20 | Acquired | 1800204 | Direct |
| 2022-01-14 | Common Stock | C | 30772 | $3.20 | Acquired | 1830976 | Direct |
| 2022-01-14 | Common Stock | C | 678 | $3.20 | Acquired | 1831654 | Direct |
| 2022-01-14 | Common Stock | C | 10184 | $3.20 | Acquired | 1841838 | Direct |
| 2022-01-14 | Common Stock | C | 18637 | $3.20 | Acquired | 1860475 | Direct |
| 2022-01-14 | Common Stock | C | 18634 | $3.20 | Acquired | 1879109 | Direct |
| 2022-01-14 | Common Stock | C | 13510 | $3.20 | Acquired | 1892619 | Direct |
| 2022-01-14 | Common Stock | C | 13472 | $3.20 | Acquired | 1906091 | Direct |
| 2022-01-14 | Common Stock | C | 13441 | $3.20 | Acquired | 1919532 | Direct |
| 2022-01-14 | Common Stock | C | 16757 | $3.20 | Acquired | 1936289 | Direct |
| 2022-01-14 | Common Stock | C | 10018 | $3.20 | Acquired | 1946307 | Direct |
| 2022-01-14 | Common Stock | C | 11656 | $3.20 | Acquired | 1957963 | Direct |
| 2022-01-14 | Common Stock | C | 182450 | $3.20 | Acquired | 2140413 | Direct |
| 2022-01-14 | Common Stock | C | 16637 | $3.20 | Acquired | 2157050 | 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 (27479) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (30772) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (678) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (10184) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (18637) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (18634) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (13510) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (13472) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (13441) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (16757) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (10018) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (11656) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (182450) | Direct | ||
| 2022-01-14 | Convertible Note | $3.20 | C | Disposed | Common stock (16637) | Direct |
Footnotes
F1: On January 21, 2020, the Registrant issued the Reporting Person an $80,000 note which matures on the earlier of (i) January 20, 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 February 27, 2020, the Registrant issued the Reporting Person a $90,000 note which matures on the earlier of (i) February 26, 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.
F3: On April 23, 2020, the Registrant issued the Reporting Person a $2,000 note which matures on the earlier of (i) April 23, 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 April 24, 2020, the Registrant issued the Reporting Person a $30,000 note which matures on the earlier of (i) April 24, 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 May 8, 2020, the Registrant issued the Reporting Person a $55,000 note which matures on the earlier of (i) May 8, 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 May 19, 2020, the Registrant issued the Reporting Person a $55,068 note which matures on the earlier of (i) May 19, 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.
F7: On June 3, 2020, the Registrant issued the Reporting Person a $40,000 note which matures on the earlier of (i) June 3, 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.
F8: On June 25, 2020, the Registrant issued the Reporting Person a $40,000 note which matures on the earlier of (i) June 25, 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.
F9: On July 13, 2020, the Registrant issued the Reporting Person a $40,000 note which matures on the earlier of (i) July 13, 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.
F10: On August 3, 2020, the Registrant issued the Reporting Person a $50,000 note which matures on the earlier of (i) August 3, 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.
F11: On August 31, 2020, the Registrant issued the Reporting Person a $30,000 note which matures on the earlier of (i) August 31, 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.
F12: On September 21, 2020, the Registrant issued the Reporting Person a $35,000 note which matures on the earlier of (i) September 21, 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.
F13: On September 27, 2020, the Registrant issued the Reporting Person notes in the aggregate principal amount of $549,058.09. The notes mature on the earlier of (i) September 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.
F14: On September 28, 2020, the Registrant issued the Reporting Person a $50,000 note which matures on the earlier of (i) September 28, 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.