Statement of Changes in Beneficial Ownership (4)
July 18 2014 - 6:38PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
BONIUK MILTON
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2. Issuer Name
and
Ticker or Trading Symbol
NANOVIRICIDES, INC.
[
NNVC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O NANOVIRICIDES, INC., 135 WOOD STREET, SUITE 205
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/2/2014
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(Street)
WEST HAVEN, CT 06516
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.001
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7/17/2014
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P
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28572
(1)
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A
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$3.50
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658963
(2)
(3)
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D
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Common Stock, par value $0.001
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7/17/2014
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P
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28572
(1)
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A
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$3.50
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314286
(4)
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I
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Held by Boniuk Interests, Ltd.
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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10% Coupon Series C Convertible Debenture
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$5.25
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7/2/2014
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A
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1
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(5)
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(6)
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Common Stock
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952381
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$5000000
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1
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I
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Held by Milton Boniuk IRA
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Series A Convertible Preferred Stock
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$0
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7/11/2014
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A
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187000
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(5)
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(6)
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Common Stock
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654500
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$0
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187000
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I
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Held by Milton Boniuk IRA
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Explanation of Responses:
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(
1)
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The shares of common stock were acquired upon exercise of warrants issued to the Reporting Person on September 11, 2013.
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(
2)
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Held by the Reporting Person and his wife Laurie Boniuk.
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(
3)
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Does not include warrants to purchase an additional 542,856 shares of common stock, 314,286 shares of common stock held in the name of Boniuk Interests, Ltd., warrants to purchase an additional 257,142 shares of common stock held in the name of Boniuk Interests, Ltd., 190,477 shares of common stock held by Boniuk Charitable Foundation, 100 shares of common stock issuable upon exercise of warrants that are currently exercisable, an indeterminate number of shares of common stock issuable upon conversion of debentures held by Boniuk Interests Ltd. and Boniuk Charitable Foundation that are currently exercisable, 952,381 shares of common stock issuable upon conversion of a debenture and 654,500 shares of common stock underlying shares of Series A Preferred Stock which are not readily exercisable held by Milton Boniuk IRA.
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(
4)
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See Note 3 regarding the explanation of the Reporting Person's other holdings of the Issuer's securities
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(
5)
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The securities are presently exercisable.
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(
6)
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The derivative securities do not expire.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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BONIUK MILTON
C/O NANOVIRICIDES, INC.
135 WOOD STREET, SUITE 205
WEST HAVEN, CT 06516
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X
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Signatures
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/s/ Milton Boniuk
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7/18/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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