GARLIKOV DONALD E enters HEPION PHARMACEUTICALS, INC. with 3.32M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Direct Derivatives
Filed: 4/2/2019ACC: 0001104659-19-019189
10% Owner
Since Mar 2019
3.32M
Baseline shares
100% direct
3.32M
Direct ownership
1 position
93.75K
Derivative underlying
3 instruments
1
Security positions
All direct
Non-Derivative Holdings1
Common Stock
DirectShares owned3.32M
Total
3.32M direct3.32M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 3.32M | Direct |
| Total | 3.32M | 3.32M direct |
Derivative Holdings3
Warrants
IndirectUnderlying security
Common Stock
Underlying shares
31.25K
Shares owned
N/A
Exercise price
13.60
Expiration
—
Exercise window
—
Warrants
DirectUnderlying security
Common Stock
Underlying shares
31.25K
Shares owned
N/A
Exercise price
10.00
Expiration
—
Exercise window
—
Warrants
DirectUnderlying security
Common Stock
Underlying shares
31.25K
Shares owned
N/A
Exercise price
34.00
Expiration
—
Exercise window
—
Total
Underlying
93.75K
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Warrants Indirect | Common Stock | 13.60 | — | — | 31.25K | N/A |
| Warrants Direct | Common Stock | 10.00 | — | — | 31.25K | N/A |
| Warrants Direct | Common Stock | 34.00 | — | — | 31.25K | N/A |
| Total | 93.75K | 0.00 | ||||