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VERU INC. — Director's Dealing 2016
Dec 6, 2016
34598_dirs_2016-12-06_a42a0833-902b-4713-975e-a38a8d7b440a.zip
Director's Dealing
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SEC Form 3/A — Form 3/A
Issuer: FEMALE HEALTH CO (FHCO)
CIK: 0000863894
Period of Report: 2016-10-31
Reporting Person: FISCH HARRY (Director, 10% Owner)
Reporting Person: K&H Fisch Family Partners, LLC (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 54504 | Direct |
| Common Stock | 606536 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class A Preferred Stock - Series 4 | $ | Common Stock (486640) | Direct | ||
| Class A Preferred Stock - Series 4 | $ | Common Stock (6632560) | Indirect |
Footnotes
F1: Includes 45,112 shares of Common Stock held jointly by Dr. Fisch and his spouse.
F2: The securities are held by K&H Fisch Family Partners, LLC, of which Dr. Fisch is the sole manager. Dr. Fisch disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that Dr. Fisch is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F3: Each share of Class A Preferred Stock - Series 4 will automatically convert into 40 shares of Common Stock of the Issuer upon receipt by the Issuer of approval by the affirmative vote of the holders of the Issuer's capital stock by the required vote under the Wisconsin Business Corporation Law and the NASDAQ listing rules, as applicable, of (i) an amendment to the Issuer's Amended and Restated Articles of Incorporation to increase the total number of authorized shares of Common Stock by a sufficient amount to permit such conversion and (ii) the conversion of the Class A Preferred Stock - Series 4 pursuant to applicable NASDAQ rules.
F4: The Class A Preferred Stock - Series 4 has no expiration date.
F5: Includes 383,960 shares of Common Stock issuable upon the conversion of 9,599 shares of Class A Preferred Stock - Series 4 held jointly by Dr. Fisch and his spouse.