4//SEC Filing
Ross Edmund Burke Jr. 4
Accession 0001415889-20-000180
CIK 0001604191other
Filed
Jan 28, 7:00 PM ET
Accepted
Jan 29, 2:01 PM ET
Size
9.7 KB
Accession
0001415889-20-000180
Insider Transaction Report
Form 4
Ross Edmund Burke Jr.
10% Owner
Transactions
- Other
10% Convertible Note Due 2019
2020-01-02$1000000.00/sh→ 0 total(indirect: By LLC)Exercise: $2.50→ Common Stock (400,000 underlying) - Other
10% Convertible Note Due 2020
2020-01-02$1000000.00/sh→ 0 total(indirect: By LLC)Exercise: $2.50→ Common Stock (400,000 underlying)
Footnotes (4)
- [F1]As of January 2, 2020, the Convertible Notes have been fully repaid pursuant to their terms and as a result of such repayment, have been cancelled.
- [F2]Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest.
- [F3]The Convertible Note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019.
- [F4]The convertible note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020.
Documents
Issuer
AzurRx BioPharma, Inc.
CIK 0001604191
Entity typeother
Related Parties
1- filerCIK 0001682557
Filing Metadata
- Form type
- 4
- Filed
- Jan 28, 7:00 PM ET
- Accepted
- Jan 29, 2:01 PM ET
- Size
- 9.7 KB