0001493152-23-003428.txt : 20230202 0001493152-23-003428.hdr.sgml : 20230202 20230202163315 ACCESSION NUMBER: 0001493152-23-003428 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230201 FILED AS OF DATE: 20230202 DATE AS OF CHANGE: 20230202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Karkus Ted William CENTRAL INDEX KEY: 0001457896 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21617 FILM NUMBER: 23581381 MAIL ADDRESS: STREET 1: 188 HEWLETT NECK ROAD CITY: WOODMERE STATE: NY ZIP: 11598 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ProPhase Labs, Inc. CENTRAL INDEX KEY: 0000868278 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 232577138 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 711 STEWART AVE, SUITE 200 STREET 2: GARDEN CITY CITY: NEW YORK STATE: NY ZIP: 11530 BUSINESS PHONE: (215) 345-0919 MAIL ADDRESS: STREET 1: 711 STEWART AVE, SUITE 200 STREET 2: GARDEN CITY CITY: NEW YORK STATE: NY ZIP: 11530 FORMER COMPANY: FORMER CONFORMED NAME: QUIGLEY CORP DATE OF NAME CHANGE: 19930328 4 1 ownership.xml X0306 4 2023-02-01 0 0000868278 ProPhase Labs, Inc. PRPH 0001457896 Karkus Ted William 711 STEWART AVE, SUITE 200 GARDEN CITY, NY 11530 1 1 1 0 CEO & CHAIRMAN Common Stock, par value $0.005 2023-02-01 4 M 0 500000 0.6 A 3852087 D Common Stock, par value $0.005 2023-02-01 4 F 0 268337 8.18 D 3583750 D Common Stock, par value $0.005 100000 I By Son Option (right to buy) 0.6 2023-02-01 4 M 0 500000 0.00 D 2023-02-22 Common Stock 500000 0 D On February 1, 2023, the Reporting Person acquired net 231,663 shares of common stock upon the exercise of stock options to purchase 500,000 shares of common stock, less 268,337 shares of common stock withheld to cover the exercise price and applicable taxes. The option vested in 35 equal monthly installments of 63,888 shares on the 1st day of each month beginning on March 1, 2018 (the "Initial Vesting Date"), and one monthly installment of 63,920 shares on the 1st day of the 36th month following the Initial Vesting Date, as described in a stock option award agreement by and between the Issuer and the Reporting Person, dated as of February 19, 2018. /s/ Ted Karkus 2023-02-02