Initial Statement of Beneficial Ownership (3)
March 06 2019 - 5:35PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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
*
Roy Gulzar
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2. Date of Event Requiring Statement (MM/DD/YYYY)
2/28/2019
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3. Issuer Name
and
Ticker or Trading Symbol
Aeon Global Health Corp. [AGHC]
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(Last)
(First)
(Middle)
AEON GLOBAL HEALTH CORP., 2225 CENTENNIAL DR.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
GAINESVILLE, GA 30504
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1023531
(1)
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D
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Restricted Stock Units
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(2)
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(2)
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Common Stock
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102857
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(2)
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D
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Restricted Stock Units
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(3)
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(3)
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Common Stock
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50986
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(3)
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D
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Restricted Stock Units
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(4)
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(4)
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Common Stock
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64286
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(4)
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D
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Explanation of Responses:
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(1)
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Includes 20,362 shares of common stock underlying restricted stock units granted to Reporting Person's spouse which will vest March 31, 2019. Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
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(2)
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The restricted stock units corresponding to this note were granted to Reporting Person's spouse on June 2, 2017 and will vest on the second anniversary of the grant date. Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
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(3)
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The restricted stock units corresponding to this note were granted to Reporting Person's spouse on June 30, 2018 and will vest on the first anniversary of the grant date. Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
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(4)
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The restricted stock units corresponding to this note were granted to Reporting Person's spouse on December 6, 2018 and will vest on the first anniversary of the grant date. Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
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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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Roy Gulzar
AEON GLOBAL HEALTH CORP.
2225 CENTENNIAL DR.
GAINESVILLE, GA 30504
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X
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Signatures
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/s/ Gulzar Roy
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3/6/2019
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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 5(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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