Annual Statement of Changes in Beneficial Ownership (5)
02 Febbraio 2023 - 11:02PM
Edgar (US Regulatory)
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ]
Form 3 Holdings Reported
[ ]
Form 4 Transactions Reported |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
TRAVERSA SERGIO | 2. Issuer Name and Ticker or Trading SymbolRELMADA THERAPEUTICS, INC. [RLMD] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CEO |
|
(Last)
(First)
(Middle)
C/O RELMADA THERAPEUTICS, INC., 2222 PONCE DE LEON BLVD, 3RD FLOOR | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
12/31/2022 |
|
(Street)
CORAL GABLES, FL 33134
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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) |
| Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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
(MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year
(Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4) | 11. Nature of Indirect Beneficial Ownership
(Instr. 4) |
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (right to buy) | $16.00 | 7/8/2021 | | G (1) | | 4131 | (2) | 7/10/2022 | Common Stock | 4131 | $0 | 0 | D | |
| Stock Option (right to buy) | $16.00 | 7/8/2021 | | G (1) | | 27123 | (3) | 9/30/2023 | Common Stock | 27123 | $0 | 6165 | D | |
| Stock Option (right to buy) | $54.00 | 7/8/2021 | | G (1) | | 8231 | (4) | 2/23/2025 | Common Stock | 8231 | $0 | 3019 | D | |
| Stock Option (right to buy) | $43.47 | 7/8/2021 | | G (1) | | 131250 | (5) | 12/19/2029 | Common Stock | 131250 | $0 | 218750 | D | |
| Stock Option (right to buy) | $33.43 | 7/8/2021 | | G (1) | | 93750 | (6) | 1/7/2031 | Common Stock | 93750 | $0 | 162500 | D | |
| Stock Option (right to buy) | $33.43 | 7/8/2021 | | G (1) | | 87500 | (7) | 1/7/2031 | Common Stock | 87500 | $0 | 162500 | D | |
| Explanation of Responses: |
| (1) | Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust. |
| (2) | The options were granted on July 10, 2012. 25% of the options vested upon the grant date and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in July 2016. |
| (3) | The options were granted on September 30, 2013. 25% of the options vested upon the date of grant and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in September 2017. |
| (4) | The options were granted on February 15, 2015. 6.25% of the options vested each quarter from the date of grant. |
| (5) | The options were granted on December 19, 2019. 6.25% of the options vest each quarter from the date of grant. |
| (6) | The options were granted on January 7, 2021. 6.25% of the options vest each quarter from the date of grant. |
| (7) | The options were granted on January 7, 2021. 25% of the options vested one year from the grant date, and thereafter in equal quarterly increments of 6.25% over the following three years. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
TRAVERSA SERGIO
C/O RELMADA THERAPEUTICS, INC.
2222 PONCE DE LEON BLVD, 3RD FLOOR
CORAL GABLES, FL 33134 | X |
| CEO |
|
Signatures
|
| /s/ Sergio Traversa | | 2/2/2023 |
| **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 control number. |
Grafico Azioni Relmada Therapeutics (NASDAQ:RLMD)
Storico
Da Mag 2024 a Giu 2024
Grafico Azioni Relmada Therapeutics (NASDAQ:RLMD)
Storico
Da Giu 2023 a Giu 2024
