Statement of Changes in Beneficial Ownership (4)
January 11 2019 - 4:12PM
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).
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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
hours per response...
0.5
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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
*
Dillione Janet
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2. Issuer Name
and
Ticker or Trading Symbol
CorMedix Inc.
[
CRMD
]
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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)
C/O CORMEDIX INC., 400 CONNELL DRIVE, SUITE 5000
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/10/2019
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(Street)
BERKELEY HEIGHTS, NJ 07922
(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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Restricted Stock Units
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1/10/2019
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A
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12500
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A
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(1)
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133909
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D
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Restricted Stock Units
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1/10/2019
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A
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5000
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A
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(1)
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138909
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Stock Option (Right to Buy Common Stock)
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$1.66
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1/10/2019
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A
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75000
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(2)
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1/10/2029
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Common Stock
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75000
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$0
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75000
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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6637
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6637
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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13636
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13636
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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37500
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37500
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D
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Stock Option (Right to Buy Common Stock)
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$0.57
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(4)
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2/16/2028
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Common Stock
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40000
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40000
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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13392
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13392
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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15625
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15625
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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20833
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20833
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D
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Stock Option (Right to Buy Common Stock)
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$2.24
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(5)
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2/21/2027
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Common Stock
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40000
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40000
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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3472
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3472
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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4143
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4143
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D
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Stock Option (Right to Buy Common Stock)
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$3.03
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(6)
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8/11/2025
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Common Stock
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50000
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50000
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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1415
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1415
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D
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Stock Option (Right to Buy Common Stock)
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$3.03
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(7)
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2/21/2026
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Common Stock
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95000
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95000
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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3831
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3831
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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2767
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2767
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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4335
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4335
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D
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Phantom Stock
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(3)
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(3)
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(3)
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Common Stock
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15306
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15306
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D
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Explanation of Responses:
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(1)
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These shares consist of restricted stock units granted on 01/10/2019. These restricted stock units will vest monthly with full vesting on the first anniversary of the date of grant, subject to continued service on the board.
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(2)
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These options were granted on 01/10/2019. The options vest monthly with full vesting on the one year anniversary of the date of grant, subject to continued service on the board.
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(3)
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Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.
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(4)
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These options were granted on 2/16/2018. These options vest in full on the first anniversary of the date of grant, subject to continued service on the board.
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(5)
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These options were granted on 2/21/2017. The options vest in full on the first anniversary of the date of grant, subject to continued service on the board.
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(6)
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These options were granted on 8/12/2015. The options vest as follows: 1/3 on 8/12/2015, 1/3 on 8/12/2016, and 1/3 on 8/12/2017.
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(7)
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These options were granted on 2/21/2016. These options vest in full on the first anniversary of the date of grant, subject to continued service on the board.
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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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Dillione Janet
C/O CORMEDIX INC.
400 CONNELL DRIVE, SUITE 5000
BERKELEY HEIGHTS, NJ 07922
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X
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Signatures
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/s/ Alexander M. Donaldson, by Power of Attorney
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1/11/2019
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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 4(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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