FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/30/2015 |
3. Issuer Name and Ticker or Trading Symbol
Edge Therapeutics, Inc. [ EDGE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to purchase) | (1) | 12/19/2022 | Common Stock | 730,940 | $2.39 | D | |
Stock Option (right to purchase) | (2) | 10/11/2023 | Common Stock | 11,695 | $2.04 | D | |
Stock Option (right to purchase) | (3) | 03/27/2024 | Common Stock | 4,385 | $8.28 | D | |
Stock Option (right to purchase) | (4) | 09/30/2025 | Common Stock | 21,928 | $11 | D |
Explanation of Responses: |
1. This option, representing a right to purchase a total of 730,940 shares of Common Stock, became exercisable on December 19, 2012 with 50% vesting on that date and the remaining 50% vesting in 16 equal quarterly installments thereafter beginning on July 31, 2013, subject to continued service as director through each vesting date. |
2. This option, representing a right to purchase a total of 11,695 shares of Common Stock, became exercisable on October 11, 2013 with 30% vesting on that date and the remaining 70% vesting in 14 equal quarterly installments thereafter, subject to continued service as director through each vesting date. |
3. This option, representing a right to purchase a total of 4,385 shares of Common Stock, became exercisable on June 1, 2013, with 25% vesting on that date and the remaining 75% vesting in 12 equal quarterly installments thereafter, subject to continued service as director through each vesting date. |
4. This option, representing a right to purchase a total of 21,928 shares of Common Stock, will become exercisable upon the earlier of the first anniversary of the date of grant or the issuer's next annual stockholders meeting, subject to continued service as director through the vesting date. |
/s/ Albert Marchio, attorney-in-fact | 09/30/2015 | |
** 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 5 (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. |