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