Statement of Changes in Beneficial Ownership (4)
December 02 2021 - 4:14PM
Edgar (US Regulatory)
FORM 4
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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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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
*
Scott John K Jr. |
2. Issuer Name and Ticker or Trading Symbol
NAVIDEA BIOPHARMACEUTICALS, INC.
[
NAVB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
30 BLUE HERON DR. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/15/2021 |
(Street)
GREENWOOD VILLAGE, CO 80121
(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 | 11/15/2021 | | A | | 30000 (1) | A | $0.001 | 8077162 | D | |
Common Stock | 11/15/2021 | | A | | 2483 (2)(4) | A | $0 | 8079645 | D | |
Common Stock | 11/30/2021 | | A | | 1250 (3)(4) | A | $0 | 8080895 | D | |
Common Stock | | | | | | | | 10139 | I | By spouse and children (5) |
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 |
Explanation of Responses: |
(1) | Restricted shares granted pursuant to Issuer's 2014 Amended and Restated Stock Incentive Plan which vest as to one-third on each of the first three anniversaries of the date of grant. |
(2) | Stock issued under the Amended and Restated 2014 Stock Incentive Plan in partial payment of quarterly non-employee director fees. |
(3) | Stock issued under the Amended and Restated 2014 Stock Incentive Plan in partial payment of monthly non-employee director fees. |
(4) | Issuance deferred at the request of the Reporting Person. |
(5) | Includes 2,639 shares of Common Stock owned by the Reporting Person's spouse and 7,500 shares of Common Stock owned by the Reporting Person's children. The Reporting Person may be deemed to have shared voting and/or dispositive power with respect to such shares. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Scott John K Jr. 30 BLUE HERON DR. GREENWOOD VILLAGE, CO 80121 | X | X |
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Signatures
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/s/ Erika L. Eves for John K. Scott, Jr. by power of attorney | | 12/2/2021 |
**Signature of Reporting Person | Date |
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