UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (1) | 04/29/2029 | Common Stock | 50,000 | $ 6.28 (2) | D | |
Stock Option (right to buy) | (1) | 07/03/2029 | Common Stock | 15,000 | $ 6.42 (2) | D | |
Stock Option (right to buy) | (3) | 06/02/2030 | Common Stock | 30,000 | $ 15.75 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Billen Daniel #1203-4464 MARKHAM STREET VICTORIA, A1 V8Z7X8 |
X |
/s/ Stephen Robertson, Attorney-in-Fact for Daniel Billen, Ph.D. | 01/04/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The shares subject to the option are fully vested and immediately exercisable. They vested in twelve equal monthly installments from the grant date. |
(2) | Converted to U.S. dollars based on the average daily exchange rate of the Bank of Canada reported on the grant date. |
(3) | The shares subject to the option vest in twelve equal monthly installments from the grant date. |