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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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
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 (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Warrants | (3) | 03/17/2022 | X | 60,432 (1) (2) (3) | 03/17/2017 | 03/17/2022 | Common Stock | 60,432 | (3) | 0 | I | Bios Fund I, LP (1) (2) (5) | |||
Series A Warrants | (4) | 03/17/2022 | X | 35,347 (1) (2) (4) | 03/17/2017 | 03/17/2022 | Common Stock | 35,347 | (4) | 0 | I | Bios Fund I QP, LP (1) (2) (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kreis Leslie W. 1751 RIVER RUN, SUITE 400 FORT WORTH, TX 76107 |
X | X | ||
Bios Equity Partners, LP 1751 RIVER RUN, SUITE 400 FORT WORTH, TX 76107 |
X | |||
Cavu Management, LP 1751 RIVER RUN, SUITE 400 FORT WORTH, TX 76107 |
X | |||
BIOS Capital Management, LP 1751 RIVER RUN SUITE 400 FORT WORTH, TX 76107 |
X | |||
Cavu Advisors, LLC 1751 RIVER RUN, SUITE 400 FORT WORTH, TX 76107 |
X | |||
BIOS Advisors GP, LLC 1751 RIVER RUN SUITE 400 FORT WORTH, TX 76107 |
X | |||
Fletcher Aaron G.L. 1751 RIVER RUN SUITE 400 FT WORTH, TX 76107 |
X | |||
BIOS Fund I, LP 1751 RIVER RUN, SUITE 400 FORT WORTH, TX 76107 |
X | |||
BIOS Fund I QP, LP 1751 RIVER RUN, SUITE 400 FORT WORTH, TX 76107 |
X |
/s/ Leslie W. Kreis, Jr. | 03/21/2022 | |
**Signature of Reporting Person | Date | |
Bios Equity Partners, LP, By: Cavu Management, LP, its general partner, By: Cavu Advisors, LLC, its general partner, By: /s/ Leslie W. Kreis, Jr, Manager | 03/21/2022 | |
**Signature of Reporting Person | Date | |
Cavu Management, LP, By: Cavu Advisors, LLC, its general partner, By: /s/ Leslie W. Kreis, Jr, Manager | 03/21/2022 | |
**Signature of Reporting Person | Date | |
Bios Capital Management, LP, By: Bios Advisors GP, LLC, its general partner, By /s/ Aaron Glenn Louis Fletcher, Manager | 03/21/2022 | |
**Signature of Reporting Person | Date | |
Cavu Advisors, LLC, By: /s/ Leslie W. Kreis, Jr, Manager | 03/21/2022 | |
**Signature of Reporting Person | Date | |
Bios Advisors GP, LLC, By: /s/ Aaron Glenn Louis Fletcher, Manager | 03/21/2022 | |
**Signature of Reporting Person | Date | |
/s/ Aaron Glenn Louis Fletcher | 03/21/2022 | |
**Signature of Reporting Person | Date | |
Bios Fund I, LP, By: Bios Equity Partners, LP, its general partner, By: Cavu Management, LP, its general partner, By: Cavu Advisors, LLC, its general partner, By: /s/ Leslie W. Kreis, Jr, Manager | 03/21/2022 | |
**Signature of Reporting Person | Date | |
Bios Fund I QP, LP, By: Bios Equity Partners, LP, its general partner, By: Cavu Management, LP, its general partner, By: Cavu Advisors, LLC, its general partner, By: /s/ Leslie W. Kreis, Jr, Manager | 03/21/2022 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("Bios Fund II NT"). Cavu Management, LP ("Cavu Management"), an entity managed and controlled by Mr. Kreis, and Bios Capital Management, LP ("Bios Management"), an entity managed and controlled by Aaron Glenn Louis Fletcher, are each a general partner of Bios Equity I and Bios Equity II. Cavu Advisors LLC ("Cavu Advisors"), an entity that is managed and controlled by Mr. Kreis, is the general partner of Cavu Management. Bios Advisors GP, LLC ("Bios Advisors"), an entity that is managed and controlled by Mr. Fletcher, is the general partner of Bios Management. |
(2) | Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP and Bios Fund II NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. |
(3) | Bios Fund I exercised warrants to purchase 60,432 shares of common stock at an exercise price of $3.13 per share. |
(4) | Bios Fund I QP exercised warrants to purchase 35,347 shares of common stock at an exercise price of $3.13 per share. |
(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 his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |