Statement of Changes in Beneficial Ownership (4)
June 11 2020 - 05:22PM
Edgar (US Regulatory)
FORM 4
[ ]
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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 * Shetty Ajit |
2. Issuer Name and Ticker or Trading
Symbol AGILE THERAPEUTICS INC [ AGRX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
101 POOR FARM ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/9/2020
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(Street)
PRINCETON, NJ 08540
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
6/9/2020 |
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A |
|
13393 (1) |
A |
$0 |
38342 |
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. 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 |
Employee Stock Option (Right to
Buy) |
$2.80 |
6/9/2020 |
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A |
|
22606 |
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(2) |
6/8/2030 |
Common Stock |
22606 |
$0 |
22606 |
D |
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Explanation of
Responses: |
(1) |
These shares represent
restricted stock units that were granted on June 9, 2020, which
will vest and be settled in common stock on June 9, 2021, subject
to the Reporting Person's continued service on the Issuer's board
of directors through the vesting date and provided that the
Reporting Person attends at least 75% of the board meetings held
during the year of board service. |
(2) |
The option was granted on
June 9, 2020 and vests in full on June 9, 2021, subject to the
Reporting Person's continued service on the Issuer's board of
directors through the vesting date and provided that the Reporting
Person attends at least 75% of the board meetings held during the
year of board service. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Shetty Ajit
101 POOR FARM ROAD
PRINCETON, NJ 08540 |
X |
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Signatures
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/s/ Geoffrey P. Gilmore, as Attorney-in
Fact |
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6/11/2020 |
**Signature of Reporting
Person |
Date |