Filing Details
- Accession Number:
- 0000318306-14-000049
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-29 18:38:47
- Reporting Period:
- 2014-12-24
- Filing Date:
- 2014-12-29
- Accepted Time:
- 2014-12-29 18:38:47
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 318306 | Plasmatech Biopharmaceuticals Inc | PTBI | Pharmaceutical Preparations (2834) | 830221517 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1349083 | Davis B Jeffrey | C/O Sco Financial Group Llc 1325 Avenue Of The Americas 27Th Floor New York NY 10019 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-12-24 | 62,500 | $4.00 | 67,858 | No | 4 | P | Indirect | By Lake End Capital LLC |
| Common Stock | Acquisiton | 2014-12-24 | 594,801 | $4.00 | 662,659 | No | 4 | J | Indirect | By Lake End Capital LLC |
| Common Stock | Acquisiton | 2014-12-24 | 300,852 | $4.00 | 963,511 | No | 4 | J | Indirect | By Lake End Captial LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Lake End Capital LLC |
| No | 4 | J | Indirect | By Lake End Capital LLC |
| No | 4 | J | Indirect | By Lake End Captial LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Purchase Warrants | Acquisiton | 2014-12-24 | 62,500 | $0.01 | 62,500 | $5.00 |
| Common Stock | Series A Cumulative Convertible Preferred Stock | Disposition | 2014-12-24 | 238 | $4.00 | 594,801 | $4.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 62,500 | 2014-12-24 | 2019-12-24 | No | 4 | P | Indirect |
| 0 | 2014-12-24 | 2014-12-24 | No | 4 | C | Indirect |
Footnotes
- Jeffrey B. Davis is the managing member of Lake End Capital LLC
- Series A Cumulative Convertible Preferred Stock was converted by the Company into common stock on 12/24/2014.
- Series A Preferred Stock dividends due and interest due on dividends and liquidated damages were converted into common stock by the company on 12/24/2014.
Billionaire Hedge Funds
