Initial Statement of Beneficial Ownership (3)
12 January 2023 - 8:06AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
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Jung Cassie |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2023
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3. Issuer Name and Ticker or Trading Symbol
Aquestive Therapeutics, Inc. [AQST]
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(Last)
(First)
(Middle)
C/O AQUESTIVE THERAPEUTICS, INC., 30 TECHNOLOGY DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
SVP, Operations / |
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(Street)
WARREN, NJ 07059
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 36747 (1)(2) | D | |
| Common Stock | 2000 | I | By spouse |
| Common Stock | 44 | I | By spouse IRA |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 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) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Non-Qualified Stock Option (right to buy) | (3) | 8/9/2029 | Common Stock | 25000 | $3.84 | D | |
| Non-Qualified Stock Option (right to buy) | (4) | 5/12/2030 | Common Stock | 21000 | $5.69 | D | |
| Non-Qualified Stock Option (right to buy) | (5) | 6/10/2031 | Common Stock | 18750 | $4.07 | D | |
| Non-Qualified Stock Option (right to buy) | (6) | 8/5/2032 | Common Stock | 25000 | $0.88 | D | |
| Explanation of Responses: |
| (1) | Includes 4,567 shares acquired pursuant to the Company's employee stock purchase plan. |
| (2) | Includes 15,000 restricted stock units ("RSUs"), which are scheduled to vest as follows: 3,750 on March 10, 2023, 3,750 on March 10, 2024 and 7,500 on March 10, 2025. |
| (3) | Grant of non-qualified stock options, of which 25% vested on August 9, 2020, 25% vested on August 9, 2021, and 50% vested on August 9, 2022. |
| (4) | Grant of non-qualified stock options, of which 25% vested on May 12, 2021, 25% vested on May 12, 2022, and 50% are scheduled to vest on May 12, 2023. |
| (5) | Grant of non-qualified stock options, of which 25% vested on June 10, 2022, 25% are scheduled to vest on June 10, 2023, and 50% are scheduled to vest on June 10, 2024. |
| (6) | Grant of non-qualified stock options, which are scheduled to vest as follows: 25% on August 5, 2023, 25% on August 5, 2024, and 50% on August 5, 2025. |
Remarks:
Exhibit List Exhibit 24 -- Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Jung Cassie
C/O AQUESTIVE THERAPEUTICS, INC.
30 TECHNOLOGY DRIVE
WARREN, NJ 07059 |
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| SVP, Operations |
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Signatures
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| /s/ Lori Braender, as Attorney-In-Fact | | 1/11/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | 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). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| 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. |
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