SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/01/2020 | 3. Issuer Name and Ticker or Trading Symbol Acasti Pharma Inc. [ ACST ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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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 Shares | 52,500 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
Share Option (Right to Buy) | (1) | 05/12/2023 | Common Shares | 525,000 | 1.56(8) | D | |
Share Option (Right to Buy) | (2) | 06/14/2027 | Common Shares | 258,000 | 1.77(8) | D | |
Share Option (Right to Buy) | (3) | 06/14/2027 | Common Shares | 172,000 | 1.77(8) | D | |
Share Option (Right to Buy) | (4) | 07/02/2028 | Common Shares | 906,248 | 0.77(8) | D | |
Share Option (Right to Buy) | (5) | 04/15/2029 | Common Shares | 226,100 | 1.28(8) | D | |
Share Option (Right to Buy) | (6) | 04/15/2029 | Common Shares | 771,900 | 1.28(8) | D | |
Share Option (Right to Buy) | (7) | 03/31/2030 | Common Shares | 1,335,000 | 0.53(8) | D | |
Warrants | 02/21/2017 | 02/21/2022 | Common Shares | 26,250 | 2.15(8) | D |
Explanation of Responses: |
1. Represents 525,000 common shares underlying 525,000 share options granted on May 12, 2016. These share options vested in 12 equal installments on a quarterly basis starting from May 12, 2016 until May 12, 2019. |
2. Represents 258,000 common shares underlying 258,000 share options granted on June 14, 2017. These share options vest in 12 equal installments on a quarterly basis starting from June 14, 2017 until June 14, 2020. |
3. Represents 172,000 common shares underlying 172,000 share options granted on June 14, 2017. These share options vest in 12 equal installments on a quarterly basis starting from June 14, 2017 until June 14, 2020. |
4. Represents 906,248 common shares underlying 906,248 share options granted on July 2, 2018. These share options vest in 12 equal installments on a quarterly basis starting from July 2, 2018 until July 2, 2021. |
5. Represents 226,100 common shares underlying 226,100 share options granted on April 15, 2019. These share options vest in 12 equal installments on a quarterly basis starting from April 15, 2019 until April 15, 2022. |
6. Represents 771,900 common shares underlying 771,900 share options granted on April 15, 2019. These share options vest in 12 equal installments on a quarterly basis starting from April 15, 2019 until April 15, 2022. |
7. Represents 1,335,000 common shares underlying 1,335,000 share options granted on March 31, 2020. These share options vest in 12 equal installments on a quarterly basis starting from March 31, 2020 until March 31, 2023. |
8. Canadian dollars. |
Remarks: |
Exhibit List - Exhibit 24 - Power of Attorney |
/s/ Kelsey Weiner, Attorney-in-Fact | 04/01/2020 | |
** 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 Number. |