Initial Statement of Beneficial Ownership (3)
April 01 2020 - 4:21PM
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
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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
*
Lemieux Pierre |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2020
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3. Issuer Name and Ticker or Trading Symbol
Acasti Pharma Inc. [ACST]
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(Last)
(First)
(Middle)
C/O ACASTI PHARMA INC., 545 PROMENADE DU CENTROPOLIS, SUITE 100 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) COO & CSO / |
(Street)
LAVAL, A8 H7T 0A3
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Shares | 7000 | 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 |
Share Option (Right to Buy) | (1) | 6/1/2022 | Common Shares | 16900 | $4.50 (10) | D | |
Share Option (Right to Buy) | (2) | 5/30/2023 | Common Shares | 31400 | $1.99 (10) | D | |
Share Option (Right to Buy) | (3) | 2/24/2027 | Common Shares | 50000 | $1.65 (10) | D | |
Share Option (Right to Buy) | (4) | 6/14/2027 | Common Shares | 93000 | $1.77 (10) | D | |
Share Option (Right to Buy) | (5) | 6/14/2027 | Common Shares | 62000 | $1.77 (10) | D | |
Share Option (Right to Buy) | (6) | 7/2/2028 | Common Shares | 365515 | $0.77 (10) | D | |
Share Option (Right to Buy) | (7) | 4/15/2029 | Common Shares | 79300 | $1.28 (10) | D | |
Share Option (Right to Buy) | (8) | 4/15/2029 | Common Shares | 270700 | $1.28 (10) | D | |
Share Option (Right to Buy) | (9) | 3/31/2030 | Common Shares | 587000 | $0.53 (10) | D | |
Explanation of Responses: |
(1) | Represents 16,900 common shares underlying 16,900 share options granted on June 1, 2015. These share options vested in 12 equal installments on a quarterly basis starting from June 1, 2015 until June 1, 2018. |
(2) | Represents 31,400 common shares underlying 31,400 share options granted on May 30, 2016. These share options vested in 12 equal installments on a quarterly basis starting from May 30, 2016 until May 30, 2019. |
(3) | Represents 50,000 common shares underlying 50,000 share options granted on February 24, 2017. These share options vested in 12 equal installments on a quarterly basis starting from February 24, 2017 until February 24, 2020. |
(4) | Represents 93,000 common shares underlying 93,000 share options granted on June 14, 2017. These share options vest in 12 equal installments on a quarterly basis starting from June 14, 2017 until June 14, 2020. |
(5) | Represents 62,000 common shares underlying 62,000 share options granted on June 14, 2017. These share options vest in 12 equal installments on a quarterly basis starting from June 14, 2017 until June 14, 2020. |
(6) | Represents 365,515 common shares underlying 365,515 share options granted on July 2, 2018. These share options vest in 12 equal installments on a quarterly basis starting from July 2, 2018 until July 2, 2021. |
(7) | Represents 79,300 common shares underlying 79,300 share options granted on April 15, 2019. These share options vest in 12 equal installments on a quarterly basis starting from April 15, 2019 until April 15, 2022. |
(8) | Represents 270,700 common shares underlying 270,700 share options granted on April 15, 2019. These share options vest in 12 equal installments on a quarterly basis starting from April 15, 2019 until April 15, 2022. |
(9) | Represents 587,000 common shares underlying 587,000 share options granted on March 31, 2020. These share options vest in 12 equal installments on a quarterly basis starting from March 31, 2020 until March 31, 2023. |
(10) | Canadian dollars. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lemieux Pierre C/O ACASTI PHARMA INC. 545 PROMENADE DU CENTROPOLIS, SUITE 100 LAVAL, A8 H7T 0A3 |
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| COO & CSO |
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Signatures
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/s/ Kelsey Weiner, Attorney-in-Fact | | 4/1/2020 |
**Signature of Reporting Person | Date |
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