Filing Details
- Accession Number:
- 0001102624-13-000218
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-02-20 18:05:39
- Reporting Period:
- 2013-02-19
- Filing Date:
- 2013-02-20
- Accepted Time:
- 2013-02-20 18:05:39
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1261734 | Aeolus Pharmaceuticals Inc. | AOLS | Pharmaceutical Preparations (2834) | 561953785 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1296750 | J Joseph Krivulka | C/O Aeolus Pharmaceuticals, Inc. 26361 Crown Valley Parkway, Inc. Ste 150 Mission Viejo CA 92691 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, $0.01 Par Value Per Share | Acquisiton | 2013-02-19 | 400,000 | $0.00 | 733,333 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants (right to buy) | Acquisiton | 2013-02-19 | 400,000 | $0.00 | 400,000 | $0.25 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
400,000 | 2013-02-19 | 2018-02-19 | No | 4 | P | Direct |
Footnotes
- (1) Pursuant to a Securities Purchase Agreement by and between Aeolus Pharmaceuticals, Inc., a Delaware corporation (the "Company"), and Mr. Krivulka, dated as of February 19, 2013, the Company issued and sold 400,000 Units (the "Units") to Mr. Krivulka for a purchase price of $100,000. Each Unit is comprised of one (1) share of the Company's common stock, $0.01 par value per share (the "Common Stock"), and one (1) warrant to purchase one (1) share of Common Stock with an initial exercise price of $0.25 per share of Common Stock, subject to certain adjustments.