Filing Details
- Accession Number:
- 0001213900-19-005524
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-04-01 16:57:44
- Reporting Period:
- 2019-03-28
- Accepted Time:
- 2019-04-01 16:57:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1513525 | Adial Pharmaceuticals Inc. | ADIL | Pharmaceutical Preparations (2834) | 800667150 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1718158 | A. Bankole Johnson | 1001 Research Park Blvd., Suite 100 Charlottesville VA 22911 | Chief Medical Officer | No | Yes | Yes | 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 | 2019-03-28 | 40,000 | $3.15 | 314,768 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-03-29 | 30,000 | $3.47 | 344,768 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-03-29 | 2,500 | $3.47 | 347,268 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-03-29 | 600 | $3.30 | 347,868 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 40,463 | Indirect | Medico-Trans Company, LLC |
| Common Stock | 848,336 | Indirect | En Fideicomiso De Mi Vida 11/23/2010 (Trust) |
| Common Stock | 93,000 | Indirect | En Fidecomiso de Todos Mis Suenos Grantor Retained Annuity Trust dated June 27, 2017 |
| Common Stock | 22,320 | Indirect | En Fideicomiso De Mis Suenos 11/23/2010 (Trust) |
| Common Stock | 10,000 | Indirect | De Mi Amor 11/23/2010 (Trust) |
| Common Stock | 4,650 | Indirect | Efunbowale Johnson |
| Common Stock | 1,395 | Indirect | Ade Johnson |
| Common Stock | 1,395 | Indirect | Lola Johnson |
| Common Stock | 930 | Indirect | Lina Tiouririne |
| Common Stock | 930 | Indirect | Aida Tiouririne |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $5.70 | 2027-06-30 | 5,580 | 5,580 | Direct | |
| Common Stock | Stock Option | $3.01 | 2029-03-23 | 250,000 | 250,000 | Direct | |
| Common Stock | Warrant to purchase common stock | $7.63 | 2017-10-10 | 2031-12-31 | 3,275 | 3,275 | Direct |
| Common Stock | Warrant to purchase common stock | $6.25 | 2018-07-31 | 2023-07-31 | 189,714 | 189,714 | Direct |
| Common Stock | Warrant to purchase common stock | $5.00 | 2018-11-12 | 2023-07-31 | 17,600 | 17,600 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2027-06-30 | 5,580 | 5,580 | Direct |
| 2029-03-23 | 250,000 | 250,000 | Direct |
| 2031-12-31 | 3,275 | 3,275 | Direct |
| 2023-07-31 | 189,714 | 189,714 | Direct |
| 2023-07-31 | 17,600 | 17,600 | Direct |
Footnotes
- Medico-Trans Company, LLC is controlled by Bankole Johnson.
- Dr. Johnson is the trustee of each of these trusts.
- Dr. Johnson has a voting proxy on this person's behalf that entitles him to vote these shares.
- Options to buy 3,100 shares are currently exercisable with the remaining options to buy 2,480 shares vesting 1/36th (155 shares) on the first day of each month over the remaining 16 months.
- Options to buy 250,000 shares vest pro rata on a monthly basis over 36 months commencing March 24, 2019.
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