GREENBERG RICHARD S

PrivateCIK: 1719461

Location

GLENDALE, CO

GREENBERG RICHARD S (EVP and Chairman) received a stock award from NEXIEN BIOPHARMA, INC.

Compensation award — not an open‑market transaction. Less informative as a directional signal.

A · 1 award

GREENBERG RICHARD S

Filed: 4/5/2021ACC: 0001214659-21-003943

InsiderGREENBERG RICHARD SCIK 1719461

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IssuerNEXIEN BIOPHARMA, INC.CIK 1625288

DirectorOfficer10% Owner· EVP and Chairman

Since Jul 2018

+1M

Net shares

Net buyer

$0.00

Total acquired

0

Open market trades

0B · 0S

1

Total transactions

1M acquired

Non-Derivative Transactions1

Common Stock

Direct

A · Award

Shares

+1M

Price / share

—

Trade value

—

% of position

37.2%

4/1/2021

2.69M→3.69M

Total

Net shares

+1M

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	4/1/2021	A · Award	+1M	—	—	37.2%	2.69M	3.69M
Total			+1M		$0.00

Derivative Transactions0

No derivative transactions reported

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)7

Class A Warrant

Direct

Underlying security

common stock

Underlying shares

1.06M

Shares owned

1.06M

Exercise price

0.0403

Expiration

—

Exercise window

—

Convertible note

Direct

Underlying security

common stock

Underlying shares

1.06M

Shares owned

N/A

Exercise price

0.0376

Expiration

—

Exercise window

—

Options to purchase common stock (right to buy)

Direct

Underlying security

Common Stock

Underlying shares

250K

Shares owned

2.50M

Exercise price

0.08

Expiration

—

Exercise window

—

Class C Warrant

Direct

Underlying security

common stock

Underlying shares

1.06M

Shares owned

1.06M

Exercise price

0.0452

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

—

Class B Warrant

Direct

Underlying security

common stock

Underlying shares

1.06M

Shares owned

1.06M

Exercise price

0.0433

Expiration

—

Exercise window

—

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

—

Total

Underlying

4.75M

Owned

5.94M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Class A Warrant Direct	common stock	0.0403	—	—	1.06M	1.06M
Convertible note Direct	common stock	0.0376	—	—	1.06M	N/A
Options to purchase common stock (right to buy) Direct	Common Stock	0.08	—	—	250K	2.50M
Class C Warrant Direct	common stock	0.0452	—	—	1.06M	1.06M
Options to purchase common stock (right to buy) Direct	Common Stock	0.54	—	—	150K	150K
Class B Warrant Direct	common stock	0.0433	—	—	1.06M	1.06M
Options to purchase common stock (right to buy) Direct	Common Stock	0.655	—	—	100K	100K
Total					4.75M	5.94M

GREENBERG RICHARD S — Insider Transaction (Form 4) Filed Apr 5, 2021 | Finecho