06/30/2022 | Press release | Distributed by Public on 06/30/2022 10:07
FORM 4/A
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. Title of Derivate Security | 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 | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fletcher Aaron G.L. 1751 RIVER RUN SUITE 400 FORT WORTH, TX76107 |
X | X |
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Bios Equity Partners, LP 1751 RIVER RUN SUITE 400 FORT WORTH, TX76107 |
X | X |
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Cavu Management, LP 1751 RIVER RUN SUITE 400 FORT WORTH, TX76107 |
X | X |
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BIOS Capital Management, LP 1751 RIVER RUN SUITE 400 FORT WORTH, TX76107 |
X | X |
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BIOS Advisors GP, LLC 1751 RIVER RUN SUITE 400 FORT WORTH, TX76107 |
X | X |
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Cavu Advisors, LLC 1751 RIVER RUN SUITE 400 FORT WORTH, TX76107 |
X | X |
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Kreis Leslie W. 751 RIVER RUN SUITE 400 FORT WORTH, TX76107 |
X | X |
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/s/ Aaron G.L. Fletcher | 2022-06-30 |
**Signature of Reporting Person | Date |
Bios Equity Partners, LP By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager | 2022-06-30 |
**Signature of Reporting Person | Date |
Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr, Manager | 2022-06-30 |
**Signature of Reporting Person | Date |
Bios Capital Management, LP By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager | 2022-06-30 |
**Signature of Reporting Person | Date |
Bios Advisors GP, LLC By: /s/ Aaron Glenn Louis Fletcher, Manager | 2022-06-30 |
**Signature of Reporting Person | Date |
Cavu Advisors, LLC By: /s/ Leslie W. Kreis, Jr, Manager | 2022-06-30 |
**Signature of Reporting Person | Date |
/s/ Leslie W. Kreis | 2022-06-30 |
**Signature of Reporting Person | Date |
(*) | 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). |
(1) | Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. |
(2) | These options vest in full on June 10, 2023. |
(3) | Bios Equity Partners, LP ("Bios Equity I") is the general partner of BP Directors, LP ("Bios Directors"). Cavu Management, LP ("Cavu Management") and Bios Capital Management, LP ("Bios Management") are the general partners of Bios Equity I. Cavu Advisors LLC ("Cavu Advisors"), an entity that is managed and controlled by Mr. Leslie W. Kreis, is the general partner of Cavu Management. Bios Advisors GP, LLC ("Bios Advisors"), an entity that is managed and controlled by Dr. Fletcher, is the general partner of Bios Management. |
(4) | Pursuant to a preexisting agreement, Dr. Fletcher is deemed to hold the reported options for the benefit of Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported options, and Bios Equity I, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors, Mr. Kreis and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported options through his or its respective indirect interest in Bios Directors. |
(5) | For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
(6) | This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing. |