Amended Statement of Beneficial Ownership (3/a)
January 06 2021 - 12:29PM
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
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3235-0104
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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
*
Heaton Kristofer |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/1/2020
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3. Issuer Name and Ticker or Trading Symbol
United Health Products, Inc. [UEEC]
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(Last)
(First)
(Middle)
10624 SOUTH EASTERN AVE., SUITE A209 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Principal Financial Officer / |
(Street)
HENDERSON, NV 89052
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 12/8/2020
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (1) | 305000 | D | |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit Awards | (2) | (2) | Common Stock | 425000 | (2) | D | |
Explanation of Responses: |
(1) | Excludes restricted stock unit awards totaling 425,000 shares. |
(2) | The restricted stock unit awards were originally at 500,000, 75,000 of which vested in July 2020. An additional 75,000 RSU's vest upon FDA approval of the company's class III PMA, an additional 100,000 of the RSU's will vest on January 1, 2021 and the balance will vest upon the company achieving $20 million in gross cumulative sales or a covered transaction or Trigger event as defined in the agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Heaton Kristofer 10624 SOUTH EASTERN AVE. SUITE A209 HENDERSON, NV 89052 |
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| Principal Financial Officer |
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Signatures
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/s/ Kristofer Heaton | | 1/6/2021 |
**Signature of Reporting Person | Date |
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