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 | ||||
Option (right to buy) | (2) | 07/06/2025 | Common Shares | 78,822 | $ 2.43 (1) | D | |
Option (right to buy) | (3) | 07/31/2025 | Common Shares | 36,988 | $ 3.9 (1) | D | |
Option (right to buy) | (4) | 03/29/2028 | Common Shares | 16,667 | $ 28.2 (1) | D | |
Option (right to buy) | (5) | 02/10/2032 | Common Shares | 50,000 | $ 8.4 (1) | D | |
Warrants (right to buy) | 08/09/2017 | 08/09/2022 | Common Shares | 833 | $ 18 (1) | D | |
Warrants (right to buy) | 04/30/2018 | 04/30/2023 | Common Shares | 556 | $ 28.8 (1) | D | |
Warrants (right to buy) | 01/22/2019 | 01/22/2024 | Common Shares | 1,927 | $ 28.8 (1) | D | |
Warrants (right to buy) | 05/31/2019 | 12/31/2024 | Common Shares | 1,111 | $ 21 (1) | D | |
Warrants (right to buy) | 03/05/2021 | 11/05/2026 | Common Shares | 3,472 | $ 12 (1) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Williams Eugene C/O PROMIS NEUROSCIENCES INC., 1920 YONGE STREET, SUITE 200 TORONTO, A6 M4S 3E2 |
X | Chairman and CEO |
/s/ Jason L. Langford, Attorney-in-Fact for Eugene Williams | 07/07/2022 | |
**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) | Conversion or exercise price is in Canadian dollars. |
(2) | The option agreement provides that the option vested 1/4 immediately with the balance vesting ratably over 36 months. The option was granted on July 6, 2015. |
(3) | The option agreement provides that the option vested 1/4 immediately with the balance vesting ratably over 36 months. The option was granted on July 31, 2015. |
(4) | The option agreement provides that the option vested 1/4 immediately with the balance vesting ratably over 36 months. The option was granted on March 29, 2018. |
(5) | The option agreement provides that the options become exercisable in 48 equal monthly installments beginning one month after the grant. The option was granted on February 10, 2022. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |