Statement of Changes in Beneficial Ownership (4)
February 05 2020 - 4:26PM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
BARER SOL J |
2. Issuer Name and Ticker or Trading Symbol
Aevi Genomic Medicine, Inc.
[
GNMX
]
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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 AEVI GENOMIC MEDICINE, INC., 435 DEVON PARK DRIVE, SUITE 715 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/3/2020 |
(Street)
WAYNE, PA 19087
(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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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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Purchase) | $5.22 | 2/3/2020 | | D | | | 200000 | (1) | 9/13/2023 | Common Stock | 200000 | $0 | 0 | D | |
Stock Option (Right to Purchase) | $5.22 | 2/3/2020 | | D | | | 200000 | (1) | 9/13/2023 | Common Stock | 200000 | $0 | 0 | I | By the Sol J. Barer 2013 Grantor Retained Annuity Trust III |
Stock Option (Right to Purchase) | $7.25 | 2/3/2020 | | D | | | 15000 | (2) | 1/2/2023 | Common Stock | 15000 | $0 | 0 | D | |
Stock Option (Right to Purchase) | $6.50 | 2/3/2020 | | D | | | 15000 | (3) | 1/2/2024 | Common Stock | 15000 | $0 | 0 | D | |
Stock Option (Right to Purchase) | $7.01 | 2/3/2020 | | D | | | 80000 | (4) | 2/18/2025 | Common Stock | 80000 | $0 | 0 | D | |
Stock Option (Right to Purchase) | $4.83 | 2/3/2020 | | D | | | 80000 | (5) | 4/15/2026 | Common Stock | 80000 | $0 | 0 | D | |
Stock Option (Right to Purchase) | $1.32 | 2/3/2020 | | D | | | 80000 | (6) | 6/22/2027 | Common Stock | 80000 | $0 | 0 | D | |
Stock Option (Right to Purchase) | $1.55 | 2/3/2020 | | D | | | 100000 | (7) | 4/17/2028 | Common Stock | 100000 | $0 | 0 | D | |
Warrant (Right to Buy) | $2.84 | 2/3/2020 | | D | | | 74912 | (8) | 10/17/2022 | Common Stock | 74912 | $0 | 0 | D | |
Explanation of Responses: |
(1) | This option, which became exercisable on September 13, 2014, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub,
LLC and issuer (the "Merger"). |
(2) | This option, which became exercisable on January 2, 2014, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
(3) | This option, which became exercisable on January 2, 2015, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
(4) | This option, which became exercisable on February 18, 2016, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
(5) | This option, which became exercisable on April 15, 2017, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
(6) | This option, which became exercisable on June 22, 2018, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
(7) | This option, which became exercisable on April 17, 2019, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
(8) | This warrant, which was issued pursuant to a Securities Purchase Agreement dated August 9, 2017, was subsequently amended by the Amendment Agreement of Warrants to Purchase Common Stock dated December
5, 2019, whereby immediately prior to the Merger the warrants were automatically exercised in a cashless exercise. Given the exercise price of the outstanding warrants, the cashless exercise resulted in no shares of common
stock being issued and the warrant was rendered null and void. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BARER SOL J C/O AEVI GENOMIC MEDICINE, INC. 435 DEVON PARK DRIVE, SUITE 715 WAYNE, PA 19087 | X |
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Signatures
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/s/ Sol J. Barer | | 2/5/2020 |
**Signature of Reporting Person | Date |
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