FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Aeon Global Health Corp. [ AGHC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/19/2018 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Convertible Note(1) | $1.2 | 07/19/2018 | D(1) | $255,417 | 03/20/2017(1) | 03/20/2019(1) | Common Stock | 212,847 | $0 | 0 | D | ||||
Convertible Note(1) | $1.2 | 07/19/2018 | D(1) | $504,452 | 03/27/2018(1) | 03/20/2019(1) | Common Stock | 420,376 | $0 | 0 | D | ||||
Restricted Stock Rights(2) | (2) | 07/19/2018 | A | 911,500 | (2) | (2) | Common Stock | 911,500 | $0(2) | 911,500 | D |
Explanation of Responses: |
1. Effective on July 19, 2018 the registrant entered into a transaction with the reporting person to exchange (i) a preexisting note originally issued to the reporting person on March 20, 2017 and amended on March 27, 2018 in the aggregate principal amount of $255,417 and (ii) a preexisting note originally issued to the reporting person on March 27, 2018 in the aggregate principal amount of $504,452 for a new secured note for a maximum principal amount of $1,100,000 (the "New Note"). The New Note is not convertible into any equity securities of the registrant. The preexisting notes held by the reporting person were deemed cancelled upon the issuance of the New Note pursuant to such exchange transaction. |
2. Represents the right to receive 911,500 shares of common stock on February 28, 2019 pursuant to the terms of a Settlement and Restructuring Agreement dated July 19, 2018 (the "Settlement Agreement") among the reporting person, the registrant and certain other parties named therein. The shares issuable under the Settlement Agreement will be deemed earned and issued on February 28, 2019. |
/s/ Hanif A. Roshan | 07/23/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |