4//SEC Filing
Alliqua, Inc. 4
Accession 0001144204-14-001299
CIK 0001054274operating
Filed
Jan 7, 7:00 PM ET
Accepted
Jan 8, 9:48 PM ET
Size
15.3 KB
Accession
0001144204-14-001299
Insider Transaction Report
Form 4
Alliqua, Inc.ALQA
STEFANSKY DAVID
DirectorChairman10% Owner
Transactions
- Disposition to Issuer
Stock Option (right to buy)
2014-01-06−11,429→ 0 totalExercise: $6.34From: 2013-05-31Exp: 2022-05-31→ Common Stock (11,429 underlying) - Award
Common Stock
2014-01-06+194,667→ 908,506 total - Disposition to Issuer
Stock Option (right to buy)
2014-01-06−114,286→ 0 totalExercise: $8.75From: 2010-12-31Exp: 2015-12-09→ Common Stock (114,286 underlying) - Disposition to Issuer
Stock Option (right to buy)
2014-01-06−38,095→ 0 totalExercise: $8.75From: 2011-03-01Exp: 2016-03-01→ Common Stock (38,095 underlying)
Footnotes (4)
- [F1]On January 6, 2014, pursuant to an option cancellation and release agreement by and between the Issuer and Mr. Stefansky (the "Stefansky Cancellation Agreement"), the Issuer granted to Mr. Stefansky 194,667 shares of common stock under the Alliqua, Inc. 2011 Long-Term Incentive Plan as consideration for the cancellation of certain nonqualified stock options previously granted to Mr. Stefansky.
- [F2]Includes, prior to the acquisitions reported on this Form 4, (a) 325,198 shares of common stock directly beneficially owned by Harborview Value Master Fund, L.P. ("Harborview Value Fund"), (b) 7,086 shares of common stock directly beneficially owned by Harborview Capital Management, LLC ("Harborview Management") and (c) 381,555 shares of common stock directly beneficially owned by Mr. Stefansky. Harborview Advisors, LLC ("Harborview Advisors") is the general partner of, and may be deemed to beneficially own securities owned by, Harborview Value Fund. Mr. Stefansky is a managing member of, and may be deemed to beneficially own securities owned by, each of Harborview Advisors and Harborview Management.
- [F3]Except as otherwise indicated, all share amounts and prices reported in this Form 4 reflect a 1-for-43.75 reverse stock split of the common stock of the Issuer that occurred on November 18, 2013.
- [F4]Represents stock options previously granted to Mr. Stefansky, which were cancelled on January 6, 2014 pursuant to the Stefansky Cancellation Agreement.
Documents
Issuer
Alliqua, Inc.
CIK 0001054274
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001054274
Filing Metadata
- Form type
- 4
- Filed
- Jan 7, 7:00 PM ET
- Accepted
- Jan 8, 9:48 PM ET
- Size
- 15.3 KB