Filing Details

Accession Number:
0001437749-23-025513
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-09-08 17:47:19
Reporting Period:
2023-08-31
Accepted Time:
2023-09-08 17:47:19
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1537561 Arch Therapeutics Inc. ARTH Surgical & Medical Instruments & Apparatus (3841) 460524102
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1886766 Laurence Hicks C/O Arch Therapeutics, Inc.
235 Walnut Street Suite 6
Framingham MA 01702
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 Acquisiton 2023-08-31 10,292 $0.28 10,292 No 4 P Indirect Drake Partners
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Drake Partners
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants (right to buy) Acquisiton 2023-08-31 20,584 $0.00 20,584 $1.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
20,584 2028-08-31 No 4 A Indirect
Footnotes
  1. The Reporting Person is an owner of Drake Partners. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
  2. The warrants are exercisable after the earlier of (A) the six-month anniversary after the date of issuance and (B) the date that a registration statement registering the shares underlying the warrants is declared effective.
  3. The warrants were sold as part of a unit with the shares of common stock reported in Table I, at a price of $0.275 per share of common stock and accompanying warrant to purchase two shares of common stock.