Amended Statement of Changes in Beneficial Ownership (4/a)
October 11 2019 - 7:28PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Mazzo David J |
2. Issuer Name and Ticker or Trading Symbol
Neuralstem, Inc.
[
CUR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
20271 GOLDENROD LANE, 2ND FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/1/2019
|
(Street)
GERMANTOWN, MD 20876
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
7/3/2019
|
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
|
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
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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
|
Common Stock Purchase Option (1)(3)
|
$6.002 (2)
|
7/1/2019
|
|
A
|
|
10106 (2)(3)
|
|
7/1/2019 (1)
|
7/1/2029
|
Common Stock
|
10106
|
$0.00
|
10106
|
D
|
|
Explanation of Responses:
|
(1)
|
Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.
|
(2)
|
All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019.
|
(3)
|
This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Mazzo David J 20271 GOLDENROD LANE, 2ND FLOOR GERMANTOWN, MD 20876
|
X
|
|
|
|
Signatures
|
/s/ David J. Mazzo, PhD
|
|
10/11/2019
|
**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 4(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.
|
Neuralstem (NASDAQ:CUR)
Historical Stock Chart
From Dec 2024 to Jan 2025
Neuralstem (NASDAQ:CUR)
Historical Stock Chart
From Jan 2024 to Jan 2025
See More Message Board Posts
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.