PRINS RICHARD K exercised options at IGC PHARMA, INC.

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 2 exercises

PRINS RICHARD K

Filed: 6/27/2023ACC: 0001185185-23-000666

InsiderPRINS RICHARD KCIK 1047579

→

IssuerIGC PHARMA, INC.CIK 1326205

Director

Since Aug 2018

+760K

Net shares

Net buyer

$0.00

Total acquired

Open market trades

0B · 0S

Total transactions

918.33K acquired · 158.33K disposed

Non-Derivative Transactions2

Common Stock

Direct

M · Option Exercise

+100K

Price / share

—

Trade value

—

% of position

13.2%

3/31/2023

755K→855K

Common Stock

Direct

M · Option Exercise

+58.33K

Price / share

—

Trade value

—

% of position

6.8%

3/31/2023

855K→913.33K

Total

Net shares

+158.33K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	3/31/2023	M · Option Exercise	+100K	—	—	13.2%	755K	855K
Common Stock Direct	3/31/2023	M · Option Exercise	+58.33K	—	—	6.8%	855K	913.33K
Total			+158.33K		$0.00

Derivative Transactions5

Restricted Stock Units

Direct

A · Award

Converts to

Common Stock

175K shares

+175K

Strike price

Held after

175K

Exercisable

—

5/25/2022

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

58.33K shares

−58.33K

Strike price

Held after

116.67K

Exercisable

—

3/31/2023

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

100K shares

−100K

Strike price

Held after

100K

Exercisable

—

3/31/2023

Restricted Stock Units

Direct

A · Award

Converts to

Common Stock

300K shares

+300K

Strike price

Held after

1.05M

Exercisable

—

6/20/2023

Restricted Stock Units

Direct

A · Award

Converts to

Common Stock

285K shares

+285K

Strike price

Held after

1.33M

Exercisable

—

6/20/2023

Security	Converts To	Date	Type	Shares	Exercisable	Held After
Restricted Stock Units Direct	Common Stock175K shares	5/25/2022	A · Award	+175K	—	175K
Restricted Stock Units Direct	Common Stock58.33K shares	3/31/2023	M · Option Exercise	−58.33K	—	116.67K
Restricted Stock Units Direct	Common Stock100K shares	3/31/2023	M · Option Exercise	−100K	—	100K
Restricted Stock Units Direct	Common Stock300K shares	6/20/2023	A · Award	+300K	—	1.05M
Restricted Stock Units Direct	Common Stock285K shares	6/20/2023	A · Award	+285K	—	1.33M