0001062993-23-018542.txt : 20230927 0001062993-23-018542.hdr.sgml : 20230927 20230927194645 ACCESSION NUMBER: 0001062993-23-018542 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230925 FILED AS OF DATE: 20230927 DATE AS OF CHANGE: 20230927 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kavuru Vimal CENTRAL INDEX KEY: 0001697184 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35776 FILM NUMBER: 231285862 MAIL ADDRESS: STREET 1: 11 MAACKA DRIVE CITY: HOLMDEL STATE: NJ ZIP: 07733 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Acasti Pharma Inc. CENTRAL INDEX KEY: 0001444192 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: A8 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 3009, BOUL. DE LA CONCORDE EAST STREET 2: SUITE 102 CITY: LAVAL STATE: A8 ZIP: H7E 2B5 BUSINESS PHONE: 450-686-4555 MAIL ADDRESS: STREET 1: 3009, BOUL. DE LA CONCORDE EAST STREET 2: SUITE 102 CITY: LAVAL STATE: A8 ZIP: H7E 2B5 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2023-09-25 0001444192 Acasti Pharma Inc. ACST 0001697184 Kavuru Vimal C/O ACASTI PHARMA INC. 2572 BOUL. DANIEL-JOHNSON, 2ND FLOOR LAVAL A8 H7T 2R3 QUEBEC, CANADA 1 0 1 0 0 Common Shares 2023-09-25 4 P 0 676371 1.848 A 1188076 I See footnote Common Shares 124344 I See footnote Common Warrants (right to buy) 3.003 2023-09-25 4 P 0 422732 0.125 A 2023-09-25 Common Shares 422732 422732 I See footnote These indirect holdings have been adjusted to give effect to the Company's 1-for-6 reverse stock split, effective July 10, 2023. These securities are held directly by Shore Pharma LLC, of which Vimal Kavuru is the sole member. Shares are held directly by Kottayil Grace Pharma LLC, of which Vimal Kavuru is a Manager. Mr. Kavuru is a Manager of Kottayil Grace Pharma LLC and shares voting and dispositive power with respect to the shares of Acasti Pharma Inc. directly held by Kottayil Grace Pharma LLC. The Common Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Common Warrants until such time as the holder and certain other related parties, would not beneficially own after any such exercise more than 19.99% of the then issued and outstanding common shares of the Company (the "Blocker"). Due to the Blocker, the Common Warrants beneficially owned indirectly by the holder are only currently partially exercisable. The Common Warrants will expire on the earlier of (i) the 60th day after the date of the acceptance by the U.S. Food and Drug Administration of a New Drug Application for the Company's product candidate GTX-104 or (ii) September 25, 2028. /s/ Prashant Kohli, as attorney-in-fact 2023-09-27