Randy Milby - Jan 11, 2022 Form 3/A - Amendment Insider Report for Hillstream BioPharma Inc. (THAR)

Role
Chief Executive Officer, Director
Signature
/s/ Randy Milby
Stock symbol
THAR
Transactions as of
Jan 11, 2022
Transactions value $
$0
Form type
3/A - Amendment
Date filed
4/19/2022, 08:00 AM
Date Of Original Report
Jan 12, 2022
Next filing
Jan 20, 2022

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding THAR Options (right to purchase) Jan 11, 2022 Common stock 18.9K $13.20 Direct F1
holding THAR Options (right to purchase) Jan 11, 2022 Common stock 11K $13.20 Direct F2
holding THAR Options (right to purchase) Jan 11, 2022 Common Stock 37.9K $0.08 Direct F3
holding THAR Options (right to purchase) Jan 11, 2022 Common stock 1.89K $2.64 Direct F4
holding THAR Options (right to purchase) Jan 11, 2022 Common stock 1.89K $2.64 Direct F5
holding THAR Options (right to purchase) Jan 11, 2022 Common stock 946 $2.64 Direct F6
holding THAR Options (right to purchase) Jan 11, 2022 Common stock 7.58K $2.64 Direct F7
holding THAR Options (right to purchase) Jan 11, 2022 Common stock 37.9K $2.64 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Registrant issued the Reporting Person the options on June 20, 2018. The options vest as follows: (i) 3,787 options vested on the date of grant and became exercisable on June 20, 2019 and (ii) the balance of the options shall vest and become exercisable in 48 equal monthly installments such that the options shall vest in full by the 4th anniversary of the initial issuance date.
F2 The Registrant issued the Reporting Person the options on September 20, 2018. The options vest as follows: (i) 3,787 options vested on the date of grant and became exercisable on September 20, 2019 and (ii) the balance of the options shall vest and become exercisable in 48 equal monthly installments such that the options shall vest in full by the 4th anniversary of the initial issuance date.
F3 The Registrant issued the Reporting Person the options on July 31, 2019. The options vest as follows: (i) 9,469 options vested and became exercisable on July 31, 2020 and (ii) the balance of the options shall vest and become exercisable in 48 equal monthly installments such that the options shall vest in full by the 4th anniversary of the initial issuance date.
F4 The Registrant issued the Reporting Person the options on September 17, 2019. The options vest as follows: (i) 473 options vested and became exercisable on September 17, 2020 and (ii) the balance of the options shall vest and become exercisable in 48 equal monthly installments such that the options shall vest in full by the 4th anniversary of the initial issuance date.
F5 The Registrant issued the Reporting Person the options on September 19, 2019. The options vest as follows: (i) 473 options vested and became exercisable on September 19, 2020 and (ii) the balance of the options shall vest and become exercisable in 48 equal monthly installments such that the options shall vest in full by the 4th anniversary of the initial issuance date.
F6 The Registrant issued the Reporting Person the options on November 5, 2019. The options vest as follows: (i) 236 options vested and became exercisable on November 5, 2020 and (ii) the balance of the options shall vest and become exercisable in 48 equal monthly installments such that the options shall vest in full by the 4th anniversary of the initial issuance date.
F7 The Registrant issued the Reporting Person the options on December 13, 2019. The options vest as follows: (i) 3,787 options vested on the date of grant and became exercisable on December 13, 2020 and (ii) the balance of the options shall vest and become exercisable in 48 equal monthly installments such that the options shall vest in full by the 4th anniversary of the initial issuance date.
F8 The Registrant issued the Reporting Person the options on December 31, 2019. The options vest as follows: (i) 9,469 options vested and became exercisable on December 31, 2020 and (ii) the balance of the options shall vest and become exercisable in 48 equal monthly such that the options shall vest in full by the 4th anniversary of the initial issuance date.

Remarks:

This is the first of the three Form 3s. This Form 3/A is filed to amend the Form 3 filed by the Reporting Person on January 12, 2022 (the "Original Form 3"). The Original Form 3 is hereby amended to update the vesting schedule of certain options issued to the Reporting Person.