0001437749-22-021742.txt : 20220901
0001437749-22-021742.hdr.sgml : 20220901
20220901214643
ACCESSION NUMBER: 0001437749-22-021742
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220830
FILED AS OF DATE: 20220901
DATE AS OF CHANGE: 20220901
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Witter Malcolm G
CENTRAL INDEX KEY: 0001838283
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35076
FILM NUMBER: 221223116
MAIL ADDRESS:
STREET 1: 4995 BRADENTON AVE
STREET 2: SUITE 240
CITY: DUBLIN
STATE: OH
ZIP: 43017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NAVIDEA BIOPHARMACEUTICALS, INC.
CENTRAL INDEX KEY: 0000810509
STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835]
IRS NUMBER: 311080091
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4995 BRADENTON AVENUE
STREET 2: SUITE 240
CITY: DUBLIN
STATE: OH
ZIP: 43017
BUSINESS PHONE: 6147937500
MAIL ADDRESS:
STREET 1: 4995 BRADENTON AVENUE
STREET 2: SUITE 240
CITY: DUBLIN
STATE: OH
ZIP: 43017
FORMER COMPANY:
FORMER CONFORMED NAME: NEOPROBE CORP
DATE OF NAME CHANGE: 19940714
4
1
rdgdoc.xml
FORM 4
X0306
4
2022-08-30
0000810509
NAVIDEA BIOPHARMACEUTICALS, INC.
NAVB
0001838283
Witter Malcolm G
4995 BRADENTON AVE., SUITE 240
DUBLIN
OH
43017
1
Common Stock
2022-08-31
4
A
0
2500
0
A
158888
D
Series I Convertible Preferred Stock
0.45
2022-08-30
4
P
0
115
A
2022-08-30
Common Stock
255530
115
D
Warrant to Purchase Common Stock
0.50
2022-08-30
4
P
0
115
A
2022-08-30
2027-08-30
Common Stock
255530
115
D
Stock issued under the Amended and Restated 2014 Stock Incentive Plan in partial payment of monthly non-employee director fees.
Issuance deferred at the request of the Reporting Person.
The Reporting Person acquired the Series I Convertible Preferred Stock and Warrants to Purchase Common Stock pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering ("Rights Offering"), as disclosed in the Registration Statement on Form S-1, as amended, and Prospectus Supplement No. 1 filed by the Issuer with the Securities and Exchange Commission. Pursuant to the Rights Offering, the Reporting Person purchased units at a subscription price of $1,000 per unit, with each unit consisting of one (1) share of Series I Convertible Preferred Stock and one (1) Warrant to Purchase 2,222 shares of Common Stock.
Series I Convertible Preferred Stock, par value $.001 per share, is convertible at any time and has no expiration date.
/s/ Erika L. Eves for Malcolm G. Witter, by power of attorney
2022-09-01