Initial Statement of Beneficial Ownership (3)
12 June 2019 - 6:04AM
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
Estimated average burden
hours per response...
0.5
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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
*
McInaw Michael
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/1/2019
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3. Issuer Name
and
Ticker or Trading Symbol
Aevi Genomic Medicine, Inc. [GNMX]
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(Last)
(First)
(Middle)
C/O AEVI GENOMIC MEDICINE, INC., 435 DEVON PARK DRIVE, SUITE 715
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Interim CFO /
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(Street)
WAYNE, PA 19087
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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16107
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D
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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)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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(1)
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7/29/2026
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Common Stock
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6500
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$5.77
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D
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Stock Option (right to buy)
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(2)
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2/17/2027
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Common Stock
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1500
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$4.91
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D
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Stock Option (right to buy)
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(3)
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6/2/2027
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Common Stock
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5000
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$1.24
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D
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Stock Option (right to buy)
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(4)
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8/11/2027
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Common Stock
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5000
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$1.32
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D
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Stock Option (right to buy)
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(5)
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4/17/2028
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Common Stock
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26250
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$1.55
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D
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Stock Option (right to buy)
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(6)
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1/22/2028
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Common Stock
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6500
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$1.52
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D
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Explanation of Responses:
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(1)
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One-Third of the option grant vested and became exercisable on each of July 29, 2017 and July 29, 2018 (2,166 options and 2,167 options, respectively), and the rest will vest and become exercisable on July 29, 2019, subject to the reporting person's continued service with the issuer.
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(2)
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One-third of the option grant vested and became exercisable on each of February 17, 2018 and February 17, 2019, and the rest will vest and become exercisable on February 17, 2020, subject to the reporting person's continued service with the issuer.
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(3)
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One-third of the option grant vested and became exercisable on each of June 2, 2018 and June 2, 2019 (rounded up to the nearest whole share of common stock), and the rest will vest and become exercisable on June 2, 2020, subject to the reporting person's continued service with the issuer.
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(4)
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One-third of the option grant vested and became exercisable on August 11, 2018 (rounded up to the nearest whole share of common stock), and the remaining will vest and become exercisable in one-third increments annually on the anniversary of the grant date, subject to the reporting person's continued service with the issuer.
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(5)
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One-third of the option grant vested and became exercisable on April 17, 2019, and the remaining will vest and become exercisable in one-third increments annually on the anniversary of the grant date, subject to the reporting person's continued service with the issuer.
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(6)
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The options vested and became exercisable on March 30, 2018.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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McInaw Michael
C/O AEVI GENOMIC MEDICINE, INC.
435 DEVON PARK DRIVE, SUITE 715
WAYNE, PA 19087
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Interim CFO
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Signatures
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/s/ Michael McInaw
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6/11/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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