Amended Statement of Changes in Beneficial Ownership (4/a)
March 18 2021 - 6:57PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
KIKIS THOMAS EVANGELOS |
2. Issuer Name and Ticker or Trading Symbol
NEUROPATHIX, INC.
[
NPTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Communication Officer |
(Last)
(First)
(Middle)
3805 OLD EASTON ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/12/2021 |
(Street)
DOYLESTOWN, PA 18902
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/16/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $0.13 | 3/12/2021 | | A | | 800000 | | (1) | 3/11/2031 (2) | Common Stock | 800000 | $0 | 800000 | D | |
Explanation of Responses: |
(1) | 1/4th of the option shares vest on the date of grant and the remaining option shares vest in equal monthly installments over 36 months thereafter. |
(2) | This Amendment No. 1 ("Form 4/A") to the Form 4 filed by the reporting person on March 16, 2021 is being filed to correct an administrative error, resulting in the incorrect expiration date being included for the options. As reflected in this Form 4/A, the correct expiration date for the options is March 11, 2031. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KIKIS THOMAS EVANGELOS 3805 OLD EASTON ROAD DOYLESTOWN, PA 18902 | X |
| Chief Communication Officer |
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Signatures
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/s/ Thomas E. Kikis | | 3/18/2021 |
**Signature of Reporting Person | Date |
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