Statement of Changes in Beneficial Ownership (4)
February 05 2020 - 6:07PM
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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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
*
Krassan Mitchell |
2. Issuer Name and Ticker or Trading Symbol
TherapeuticsMD, Inc.
[
TXMD
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Strategy Officer |
(Last)
(First)
(Middle)
951 YAMATO ROAD, SUITE 220 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/3/2020 |
(Street)
BOCA RATON, FL 33431
(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 | 2/3/2020 | | M | | 105703 | A | $0.1874 | 105703 | D | |
Common Stock | 2/3/2020 | | M | | 194297 | A | $0.2037 | 300000 | D | |
Common Stock | 2/3/2020 | | S(1) | | 300000 | D | $2.2564 (2) | 0 | 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. 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 |
Non-Qualified Stock Option (right to buy) | $0.1874 | 2/3/2020 | | M | | | 105703 | 5/1/2011 | 5/1/2020 | Common Stock | 105703 | $0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $0.2037 | 2/3/2020 | | M | | | 194297 | 9/1/2013 | 9/1/2020 | Common Stock | 194297 | $0 | 489658 | D | |
Explanation of Responses: |
(1) | The sales were made pursuant to the Reporting Person's 10b5-1 trading plan dated December 10, 2019 with respect to shares of common stock underlying options to purchase common stock that expire on or before September 2020. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.25 to $2.285, inclusive. The reporting person undertakes to provide TherapeuticsMD, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Krassan Mitchell 951 YAMATO ROAD, SUITE 220 BOCA RATON, FL 33431 |
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| Chief Strategy Officer |
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Signatures
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/s/ Mitchell Krassan | | 2/5/2020 |
**Signature of Reporting Person | Date |
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