UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock option | 04/02/2012 | 04/02/2022 | Common stock | 262,536 | $ 3.4281 | D | |
Stock option | 02/28/2013 | 02/28/2023 | Common stock | 525,072 | $ 3.4281 | D | |
Stock option | 05/10/2016 | 05/10/2026 | Common stock | 315,043 | $ 4.7613 | D | |
Common stock purchase warrant | 09/30/2016 | 05/09/2021 | Common stock | 1,365,189 | $ 4.7612 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Niihara Yutaka 21250 HAWTHORNE BLVD. SUITE 800 TORRANCE, CA 90503 |
X | X | Chairman and CEO |
Yutaka Niihara, M.D., M.P.H. | 07/29/2019 | |
**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) | Includes shares owned jointly with Soomi Niihara, Dr. Niihara's wife. |
(2) | Hope International Hospice, Inc, is a California corporation of which Dr. Niihara and his wife are the sole shareholders and directors. |
(3) | The shares shown are held by Dr. Niihara as custodian for the benefit of his adult children. Dr. Niihara disclaims beneficial ownership of such shares. The inclusion in this Report of such shares shall not be deemed an admission that Dr. Niihara is the beneficial owners of such shares for purposes of Section 16 or for any other purpose. |