GREENBERG RICHARD S

PrivateCIK: 1719461

Location

GLENDALE, CO

GREENBERG RICHARD S

Filed: 11/30/2020ACC: 0001214659-20-009996

InsiderGREENBERG RICHARD SCIK 1719461

→

IssuerNEXIEN BIOPHARMA, INC.CIK 1625288

DirectorOfficer10% Owner· EVP and Chairman

Since Jul 2018

+3.19M

Net shares

Net buyer

$0.00

Total acquired

0

Open market trades

0B · 0S

4

Total transactions

3.19M acquired

Non-Derivative Transactions0

No non-derivative transactions reported

Derivative Transactions4

Convertible note

Direct

A · Award

Converts to

common stock

1.06M shares

Shares

+N/A

Strike price

0.0376

Held after

N/A

Exercisable

—

11/24/2020

Class A Warrant

Direct

A · Award

Converts to

common stock

1.06M shares

Shares

+1.06M

Strike price

0.0403

Held after

1.06M

Exercisable

—

11/24/2020

Class B Warrant

Direct

A · Award

Converts to

common stock

1.06M shares

Shares

+1.06M

Strike price

0.0433

Held after

1.06M

Exercisable

—

11/24/2020

Class C Warrant

Direct

A · Award

Converts to

common stock

1.06M shares

Shares

+1.06M

Strike price

0.0452

Held after

1.06M

Exercisable

—

11/24/2020

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Convertible note Direct	common stock1.06M shares	11/24/2020	A · Award	+N/A	0.0376	—	N/A
Class A Warrant Direct	common stock1.06M shares	11/24/2020	A · Award	+1.06M	0.0403	—	1.06M
Class B Warrant Direct	common stock1.06M shares	11/24/2020	A · Award	+1.06M	0.0433	—	1.06M
Class C Warrant Direct	common stock1.06M shares	11/24/2020	A · Award	+1.06M	0.0452	—	1.06M

Non-Derivative Holdings (Post-Transaction)1

common stock

Direct

Shares owned2.69M

Total

2.69M direct2.69M

Security Title	Shares Owned	Ownership Type
common stock	2.69M	Direct
Total	2.69M	2.69M direct

Derivative Holdings (Post-Transaction)3

Options to purchase common stock (right to buy)

Direct

Underlying security

common stock

Underlying shares

100K

Shares owned

100K

Exercise price

0.655

Expiration

—

Exercise window

—

Options to purchase common stock (right to buy)

Direct

Underlying security

common stock

Underlying shares

2.50M

Shares owned

2.50M

Exercise price

0.08

Expiration

—

Exercise window

—

Options to purchase common stock (right to buy)

Direct

Underlying security

common stock

Underlying shares

150K

Shares owned

150K

Exercise price

0.54

Expiration

—

Exercise window

—

Total

Underlying

2.75M

Owned

2.75M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Options to purchase common stock (right to buy) Direct	common stock	0.655	—	—	100K	100K
Options to purchase common stock (right to buy) Direct	common stock	0.08	—	—	2.50M	2.50M
Options to purchase common stock (right to buy) Direct	common stock	0.54	—	—	150K	150K
Total					2.75M	2.75M

GREENBERG RICHARD S — Insider Transaction (Form 4) Filed Nov 30, 2020 | Finecho