Adhera Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows, 11 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-07-12: Reporting owner Moscato Robert Jr.; Form 4; Security Series F Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2018-04-16: Reporting owner Trieu Vuong; Form 4; Security Series E Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-04-16: Reporting owner Trieu Vuong; Form 4; Security Series E Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-04-16: Reporting owner Trieu Vuong; Form 4; Security Series E Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-07-12 | Moscato Robert Jr. Director, Officer (Chief Executive Officer) | 4 | Series F Convertible Preferred Stock Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +40 40 owned after | $5,000.00 | 2018-07-16 | |
| 2018-04-16 | Trieu Vuong Director, Officer (Executive Chairman), 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2 2 owned after | $5,000.00 | 2018-04-18 | |
| 2018-04-16 | Trieu Vuong Director, Officer (Executive Chairman), 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | +35 35 owned after | $5,000.00 | 2018-04-18 | |
| 2018-04-16 | Trieu Vuong Director, Officer (Executive Chairman), 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | +859,725 859,725 owned after | $5,000.00 | 2018-04-18 | |
| 2018-04-16 | Trieu Vuong Director, Officer (Executive Chairman), 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | +163 163 owned after | $5,000.00 | 2018-04-18 | |
| 2018-04-16 | Trieu Vuong Director, Officer (Executive Chairman), 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | $5,000.00 | 2018-04-18 | ||
| 2018-04-16 | Hwang Larn Officer (Chief Scientific Officer) | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +10 10 owned after | $5,000.00 | 2018-04-18 | |
| 2018-04-16 | Williams Donald Allen Director | 4 | Series E Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18 18 owned after | $5,000.00 | 2018-04-18 | |
| 2018-04-16 | BLECH ISAAC Director | 4 | Series E Convertible Preferred Stock Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2 2 owned after | $5,000.00 | 2018-04-18 | |
| 2018-04-16 | BLECH ISAAC Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | +104 104 owned after | $5,000.00 | 2018-04-18 | |
| 2018-04-16 | Ranker Philip C Director | 4 | Series E Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18 18 owned after | $5,000.00 | 2018-04-18 |