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