UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options | (2) | 11/14/2030 | Common Stock | 18,000 | $ 1.8 | D | |
Stock Options | (3) | 11/14/2031 | Common Stock | 18,000 | $ 10 | D | |
Warrants | (4) | (4) | Common Stock | 3,579 | $ 6 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Guerrero Ramiro 444 WEST LAKE STREET, SUITE 1700 CHICAGO, IL 60606 |
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/s/ Ramiro Guerrero | 07/27/2022 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Mr. Guerrero beneficially owns 259,382 shares of common stock. |
(2) | Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vested in 12 equal monthly installments beginning on December 15, 2020. |
(3) | Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vest in 12 equal monthly installments beginning on November 15, 2021. |
(4) | Each Warrant became exercisable on the date of issuance of June 29, 2021, and expires on the earliest to occur of: (a) June 28, 2028; or (b) immediately prior to the closing of any change of control of the issuer. |