Randy Milby - Apr 18, 2022 Form 4 Insider Report for Hillstream BioPharma Inc. (THAR)

Role
Chief Executive Officer, Director
Signature
/s/ Randy Milby
Stock symbol
THAR
Transactions as of
Apr 18, 2022
Transactions value $
$24,342
Form type
4
Date filed
4/19/2022, 08:05 AM
Previous filing
Jan 20, 2022
Next filing
May 19, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction THAR Common Stock Exercise of in-the-money or at-the-money derivative security $2.38K +7.58K +0.28% $0.31 2.7M Apr 18, 2022 Direct
transaction THAR Common Stock Exercise of in-the-money or at-the-money derivative security $2.38K +7.58K +0.28% $0.31 2.71M Apr 18, 2022 Direct
transaction THAR Common Stock Exercise of in-the-money or at-the-money derivative security $15K +189K +6.99% $0.08 2.9M Apr 18, 2022 Direct
transaction THAR Common Stock Exercise of in-the-money or at-the-money derivative security $2.24K +28.4K +0.98% $0.08 2.93M Apr 18, 2022 Direct
transaction THAR Common Stock Exercise of in-the-money or at-the-money derivative security $2.38K +7.58K +0.26% $0.31 2.93M Apr 18, 2022 Direct

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
transaction THAR Options (right to purchase) Exercise of in-the-money or at-the-money derivative security $0 -7.58K -100% $0.00* 0 Apr 18, 2022 Common stock 7.58K $0.31 Direct
transaction THAR Options (right to purchase) Exercise of in-the-money or at-the-money derivative security $0 -7.58K -100% $0.00* 0 Apr 18, 2022 Common stock 7.58K $0.31 Direct
transaction THAR Options (right to purchase) Exercise of in-the-money or at-the-money derivative security $0 -189K -100% $0.00* 0 Apr 18, 2022 Common stock 189K $0.08 Direct F1
transaction THAR Options (right to purchase) Exercise of in-the-money or at-the-money derivative security $0 -28.4K -75% $0.00 9.47K Apr 18, 2022 Common stock 28.4K $0.08 Direct F2
transaction THAR Options (right to purchase) Exercise of in-the-money or at-the-money derivative security $0 -7.58K -100% $0.00* 0 Apr 18, 2022 Common stock 7.58K $0.31 Direct
* 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 August 30, 2019. The options vested on the date of grant and became exercisable upon completion of the Registrant's initial public offering.
F2 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.