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 | 04/09/2015 | 04/09/2025 | Common Stock | 300,000 | $ 3.99 | D | |
Options to Purchase Common Stock | (1) | 06/22/2025 | Common Stock | 50,000 | $ 2.53 | D | |
Series C Preferred Stock | (2) | (2) | Common Stock | 42,334 | $ 1.5 (2) | D | |
Warrants to Purchase Common Stock | (3) | 01/09/2018 | Common Stock | 41,628 | $ 1.5 | D | |
Warrants to Purchase Common Stock | (3) | 07/15/2018 | Common Stock | 10,409 | $ 1.5 | D | |
Warrants to Purchase Common Stock | (3) | 10/14/2018 | Common Stock | 10,409 | $ 1.5 | D | |
Warrants to Purchase Common Stock | (3) | 01/31/2019 | Common Stock | 6,123 | $ 3.67 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ZELDIS JEROME B C/O BIOSIG TECHNOLOGIES, INC. 8441 WAYZATA BLVD., SUITE 240 MINNEAPOLIS, MN 55426 |
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/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 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. |
(2) | The Series C Preferred Stock may be converted at any time at the option of the holder into shares of common stock at a conversion price of $1.50 per share. The Series C Preferred Stock has no expiration date. |
(3) | All Warrants are presently exercisable. |
Remarks: Exhibit 24.1 Power of Attorney (furnished herewith) |