Initial Statement of Beneficial Ownership (3)
April 26 2022 - 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
*
Dilmore Jillian |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/16/2022
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3. Issuer Name and Ticker or Trading Symbol
Baudax Bio, Inc. [BXRX]
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(Last)
(First)
(Middle)
C/O BAUDAX BIO, INC., 490 LAPP ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) ___X___ Other (specify below) Corporate Controller/Secretary / PFO and PAO |
(Street)
MALVERN, PA 19355
(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 Stock | 171 (1) | D | |
Common Stock | 67 (2) | D | |
Common Stock | 25 | 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 |
Stock Option (right to buy) | (3) | 12/5/2029 | Common Stock | 257 | $221.55 | D | |
Stock Option (right to buy) | (4) | 12/2/2030 | Common Stock | 162 | $39.20 | D | |
Stock Option (right to buy) | (5) | 1/15/2031 | Common Stock | 313 | $45.50 | D | |
Explanation of Responses: |
(1) | Consists of 171 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of Baudax Bio, Inc. (the "Company"). The restricted stock units vest annually in four equal installments commencing on December 5, 2020, subject to continued service to the Company on the applicable vesting dates. The restricted stock units will be settled on the applicable vesting dates in shares of the Company's common stock. |
(2) | Consists of 67 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Company. The restricted stock units vest annually in four equal installments commencing on January 15, 2022, subject to continued service to the Company on the applicable vesting dates. The restricted stock units will be settled on the applicable vesting dates in shares of the Company's common stock. |
(3) | The stock option vests in equal monthly installments over 48 months, beginning on January 5, 2020, subject to continued service to the Company on the applicable vesting dates. |
(4) | The stock option vested in two equal, semi-annual installments on June 30, 2021 and December 31, 2021. |
(5) | The stock option vests in equal monthly installments over 48 months, beginning on February 15, 2021, subject to continued service to the Company on the applicable vesting dates. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dilmore Jillian C/O BAUDAX BIO, INC. 490 LAPP ROAD MALVERN, PA 19355 |
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| Corporate Controller/Secretary | PFO and PAO |
Signatures
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/s/ Gerri Henwood, Attorney-in-fact | | 4/26/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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