Filing Details
- Accession Number:
- 0000914190-12-000244
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-04-02 16:27:06
- Reporting Period:
- 2012-03-30
- Filing Date:
- 2012-04-02
- Accepted Time:
- 2012-04-02 15:27:06
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1133869 | Nile Therapeutics Inc. | NLTX | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1221355 | A Joshua Kazam | C/O Two River Group Holdings, Llc 689 Fifth Avenue, 12Th Floor New York NY 10022 | President & Ceo | Yes | Yes | 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 | 2012-03-30 | 125,000 | $0.00 | 1,453,228 | 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 | Warrant (Right to Buy) | Acquisiton | 2012-03-30 | 93,750 | $0.00 | 93,750 | $0.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
93,750 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 613,841 | Indirect | By Kazam Family Trust |
Common Stock | 165,530 | Indirect | By Spouse for Minor Child |
Common Stock | 165,530 | Indirect | By Kash Family Foundation |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to Buy) | $4.50 | 2018-01-25 | 50,000 | 50,000 | Direct | |
Common Stock | Stock Option (Right to Buy) | $0.93 | 2010-01-01 | 2018-12-22 | 25,000 | 25,000 | Direct |
Common Stock | Stock Option (Right to Buy) | $1.77 | 2010-07-21 | 2019-07-21 | 65,000 | 65,000 | Direct |
Common Stock | Stock Option (Right to Buy) | $0.37 | 2011-07-26 | 2020-07-26 | 80,000 | 80,000 | Direct |
Common Stock | Stock Option (Right to Buy) | $0.73 | 2012-05-10 | 2021-05-10 | 80,000 | 80,000 | Direct |
Common Stock | Warrant (Right to Buy) | $1.25 | 2009-07-07 | 2014-07-07 | 49,407 | 49,407 | Direct |
Common Stock | Warrant (Right to Buy) | $1.71 | 2009-07-07 | 2014-07-07 | 49,407 | 49,407 | Direct |
Common Stock | Warrant (Right to Buy) | $2.28 | 2009-07-07 | 2014-07-07 | 98,814 | 98,814 | Direct |
Common Stock | Warrant (Right to Buy) | $0.94 | 2010-04-27 | 2015-04-21 | 15,000 | 15,000 | Direct |
Common Stock | Warrant (Right to Buy) | $1.38 | 2009-07-15 | 2019-07-15 | 31,650 | 31,650 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-01-25 | 50,000 | 50,000 | Direct |
2018-12-22 | 25,000 | 25,000 | Direct |
2019-07-21 | 65,000 | 65,000 | Direct |
2020-07-26 | 80,000 | 80,000 | Direct |
2021-05-10 | 80,000 | 80,000 | Direct |
2014-07-07 | 49,407 | 49,407 | Direct |
2014-07-07 | 49,407 | 49,407 | Direct |
2014-07-07 | 98,814 | 98,814 | Direct |
2015-04-21 | 15,000 | 15,000 | Direct |
2019-07-15 | 31,650 | 31,650 | Direct |
Footnotes
- The reported securities were purchased by the Reporting Person at an aggregate price of $0.40 for one share of common stock and three-fourths of a warrant to purchase one share of common stock.
- Held by Reporting Person's spouse as custodian for the benefit of their minor child under the Uniform Gift to Minors Act. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary intrest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
- The Reporting Person is the Trustee of the Kash Family Foundation and controls the right to vote and dispose of the shares held by the Trust. However, the Reporting Person has no pecuniary interest in the shares held by the Foundation.
- Fully exercisable.
- The warrants are exercisable for a period of five years beginning on the earlier of (i) the date on which a registration statement under the Securities Act of 1933, as amended, covering the shares of common stock issuable upon exercise of the warrants and the subsequent resale of such shares is declared effective by the Securities and Exchange Commission, and (ii) one year and one day after issuance.