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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 | ||||||||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 03/03/2025 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 423,669 | 08/30/2022 | 10/23/2023 | common stock | 423,669 | $ 0 | 423,669 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 158,875 | 08/30/2022 | 03/18/2024 | common stock | 158,875 | $ 0 | 158,875 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 476,631 | 08/30/2022 | 04/15/2024 | common stock | 476,631 | $ 0 | 476,631 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 07/02/2024 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 07/31/2024 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 09/03/2024 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 10/01/2024 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 11/04/2024 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 12/03/2024 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 01/02/2025 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 01/31/2025 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 190,650 | 08/30/2022 | 04/01/2025 | common stock | 190,650 | $ 0 | 190,650 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 127,097 | 08/30/2022 | 06/03/2025 | common stock | 127,097 | $ 0 | 127,097 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 127,097 | 08/30/2022 | 07/01/2025 | common stock | 127,097 | $ 0 | 127,097 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 127,097 | 08/30/2022 | 08/31/2025 | common stock | 127,097 | $ 0 | 127,097 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 60,530 | 08/30/2022 | 10/02/2025 | common stock | 60,530 | $ 0 | 60,530 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 79,505 | 08/30/2022 | 12/07/2025 | common stock | 79,505 | $ 0 | 79,505 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 109,623 | 08/30/2022 | 12/08/2025 | common stock | 109,623 | $ 0 | 109,623 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 317,753 | 08/30/2022 | 02/23/2026 | common stock | 317,753 | $ 0 | 317,753 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 329,891 | 08/30/2022 | 03/31/2026 | common stock | 329,891 | $ 0 | 329,891 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 329,891 | 08/30/2022 | 05/24/2026 | common stock | 329,891 | $ 0 | 329,891 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 329,891 | 08/30/2022 | 06/30/2026 | common stock | 329,891 | $ 0 | 329,891 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 329,891 | 08/30/2022 | 07/23/2026 | common stock | 329,891 | $ 0 | 329,891 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 329,891 | 08/30/2022 | 08/27/2026 | common stock | 329,891 | $ 0 | 329,891 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 329,891 | 08/30/2022 | 09/29/2026 | common stock | 329,891 | $ 0 | 329,891 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 329,891 | 08/30/2022 | 10/29/2026 | common stock | 329,891 | $ 0 | 329,891 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 506,797 | 08/30/2022 | 11/29/2026 | common stock | 506,797 | $ 0 | 506,797 | I | Trust | |||
Warrant | $ 3.147 | 08/30/2022 | J(2) | 506,794 | 08/30/2022 | 12/28/2026 | common stock | 506,794 | $ 0 | 506,794 | I | Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Williams Gregg 13170 TELFAIR AVENUE SYLMAR, CA 91342 |
X | X |
/s/ Gregg Williams | 09/01/2022 | |
**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) | Represents shares of common stock issued in the acquisition transaction of Nano Precision Medical Inc. consummated on August 30, 2022. |
(2) | Represents warrants to purchase shares of common stock assumed on the effective date of the acquisition of Nano Precision medical, Inc., consummated on August 30, 2022, pursuant to the Agreement and Plan of Merger dated February 4, 2022. |
(3) | After giving effect to the transactions reported on this Form 4, shares beneficially owned by Mr. Williams include (i) 9,511,062 shares of common stock and warrants to purchase 7,808,405 shares of common stock owned by GW Trust, (ii) 1,212,856 shares of common stock and warrants to purchase 1,151,012 shares of common stock owned by Williams International Co. LLC (iii) 181,587 shares of common stock owned by Sam Williams Family Investments LLC and (iv) 731,309 shares of common stock and warrants to purchase 287,753 shares of common stock owned by GST. Greg Williams has voting and dispositive power over all of these shares. |