Initial Statement of Beneficial Ownership (3)
October 12 2017 - 5:15PM
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
*
Conway Robert G
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/3/2017
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3. Issuer Name
and
Ticker or Trading Symbol
AGILE THERAPEUTICS INC [AGRX]
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(Last)
(First)
(Middle)
101 POOR FARM ROAD
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
SVP Ent Planning & Info Mgt /
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(Street)
PRINCETON, NJ 08540
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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1/12/2009
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1/11/2019
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Common Stock
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45
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$285.71
(1)
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D
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Employee Stock Option (Right to Buy)
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12/9/2010
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12/8/2020
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Common Stock
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4149
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$1.76
(1)
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D
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Employee Stock Option (Right to Buy)
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12/6/2012
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12/5/2022
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Common Stock
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46485
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$4.38
(1)
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D
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Employee Stock Option (Right to Buy)
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2/19/2015
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2/18/2025
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Common Stock
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30000
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$9.45
(2)
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D
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Employee Stock Option (Right to Buy)
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2/8/2016
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2/7/2026
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Common Stock
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47500
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$5.93
(3)
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D
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Employee Stock Option (Right to Buy)
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1/25/2017
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1/24/2027
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Common Stock
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38000
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$2.26
(4)
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D
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Explanation of Responses:
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(1)
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This option is fully vested.
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(2)
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This option was granted on February 19, 2015. 25% of the shares subject to the stock option vested on February 19, 2016, and the remaining shares vest in 36 equal monthly installments over the following three years such that the option will be fully vested on February 19, 2019.
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(3)
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This option was granted on February 8, 2016. 25% of the shares subject to the stock option vested on February 8, 2017, and the remaining shares vest in 36 equal monthly installments over the following three years such that the option will be fully vested on February 8, 2020.
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(4)
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This option was granted on January 25, 2017. 25% of the shares subject to the stock option will vest on January 25, 2018, and the remaining shares vest in 36 equal monthly installments over the following three years such that the option will be fully vested on January 25, 2021.
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Remarks:
Exhibit List Exhibit 24.1 - Power of Attorney.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Conway Robert G
101 POOR FARM ROAD
PRINCETON, NJ 08540
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SVP Ent Planning & Info Mgt
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Signatures
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/s/ Scott Coiante, Attorney-in-Fact
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10/12/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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