UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options to Purchase Common Stock | (1) | 09/21/2019 | Common Stock | 243,000 | $ 2 | D | |
Options to Purchase Common Stock | 09/01/2014 | 09/01/2021 | Common Stock | 75,000 | $ 2.5 | D | |
Options to Purchase Common Stock | (2) | 06/22/2025 | Common Stock | 25,000 | $ 2.53 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Holzer Asher C/O BIOSIG TECHNOLOGIES, INC. 8441 WAYZATA BLVD., SUITE 240 MINNEAPOLIS, MN 55426 |
X | Chief Scientific Advisor |
/s/ Kenneth L. Londoner, attorney-in-fact | 07/20/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 options vested 81,000 on September 21, 2013, the first anniversary of the grant, and 81,000 on September 21, 2014, the second anniversary of the grant. The remaining 81,000 will vest on September 21, 2015, the third anniversary of the grant. As of the date of this report, the options are vested and exercisable as to 162,000 underlying shares. |
(2) | The options vest in 12 consecutive monthly installments beginning one month from June 22, 2015, the date of the grant. As of the date of this report, the options are vested and exercisable as to zero underlying shares. |
Remarks: Exhibit 24.1 Power of Attorney (furnished herewith) |