|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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 | ||||||||
Options (Right to Buy) | $ 4.31 | 04/08/2021 | A | 80,000 | (1) | 04/08/2031 | Common Stock | 80,000 | $ 0 | 80,000 | D | ||||
Options (Right to Buy) | $ 4.31 | 04/08/2021 | A | 90,000 | (2) | 04/08/2031 | Common Stock | 90,000 | $ 0 | 90,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cassino Cara M C/O CONTRAFECT CORPORATION 28 WELLS AVENUE, 3RD FLOOR YONKERS, NY 10701 |
Chief Medical Officer |
/s/Michael Messinger, attorney-in-fact for Cara Cassino | 04/13/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | The option vests and becomes exercisable in equal quarterly installments with 6.25% of the total underlying shares vesting at the end of each quarter following the vesting commencement date, subject to continued service with the issuer through each vesting date. |
(2) | The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of the date of grant and the remaining 75% of the total shares vest in equal quarterly installments each quarter thereafter, subject to continued service with the issuer through each vesting date. |