TREX WIND-DOWN, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-05-18: Reporting owner TardiMed Sciences LLC; Form 4; Security Series A Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2018-01-30: Reporting owner Vivo Capital VIII, LLC; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2016-12-02: Reporting owner Vivo Capital VIII, LLC; Form 3; Security Series A Convertible Preferred Stock; Transaction Holding.
- 2015-06-25: Reporting owner Morlock Stephen; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-05-18 | TardiMed Sciences LLC 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,821 1,821 owned after | no price filed | 2020-05-20 | |
| 2018-01-30 | Vivo Capital VIII, LLC 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,515 0 owned after | $0.00 | 2018-01-31 | |
| 2016-12-02 holding as of filing | Vivo Capital VIII, LLC 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | $0.35 exercise price | 2016-12-02 | ||
| 2015-06-25 | Morlock Stephen Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03 | C Conversion of derivative security | −13,514 0 owned after | no price filed | 2015-06-29 | |
| 2015-04-07 holding as of filing | Morlock Stephen Director | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · By Stephen W. Morlock and Karen R. Morlock TIEE UPT dated 04/21/03 | Holding | no price filed | 2015-04-07 | ||
| 2015-04-01 holding as of filing | Morlock Stephen Director | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-04-01 | ||
| 2015-02-09 holding as of filing | Wang Ping Director | 3 | Series A Preferred Stock-No Securities Beneficially Owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2015-02-09 |