InsiderTrades

Form 4 for UNCY Unicycive Therapeutics, Inc.

Accepted 2023-07-13 00:00:00 ET · period of report 2023-07-11 · accession 0001213900-23-056864 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
D 2023-07-13 2023-07-11 UNCY Gupta Pramod EVP, Pharmaceuticals, BD M - OptEx — +41.8K 41.8K New —
DM 2023-07-13 2023-07-11 UNCY Gupta Pramod EVP, Pharmaceuticals, BD M - OptEx $1,000.00 +106.6K 28.8K New +$106.61M

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2023-07-11 M A 41,845 — 41,845 D — — (F1) The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share.
2 Derivative Warrant (right to buy) 2023-07-11 M A 46,110 — 46,110 D $0.74 · 2023-07-11 to — 46,110 Series A-5 Convertible Preferred Stock (F1) The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share. (F5) The Tranche C Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Company's public disclosure of financial results for four (4) quarters of commercial sales of Renazorb following receipt of Transitional Drug Add-On Payment Adjustment approval for Renazorb, commencing with the first quarter in which the Company receives revenue from Centers for Medicare and Medicaid Services for Renazorb under the Transitional Drug Add-On Payment Adjustment.
3 Derivative Warrant (right to buy 2023-07-11 M A 31,700 — 31,700 D $0.54 · 2023-07-11 to — 31,700 Series A-3 Convertible Preferred Stock (F1) The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share. (F3) The Tranche A Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Issuer's announcement of receipt of FDA approval for Renazorb.
4 Derivative Series A-1 Convertible Preferred Stock 2023-07-11 M D 20 $1,000.00 0 D $0.49 · — to — — Common Stock (F2) On July 11, 2023, the shares of Series A-1 Convertible Preferred Stock automatically converted into units consisting of (1) 41,845 shares of common stock, (2) a Tranche A Warrant to purchase 31,700 shares of Series A-3 Convertible Preferred Stock, (3) a Tranche B Warrant to purchase 28,818 shares of Series A-4 Convertible Preferred Stock and (4) a Tranche C Warrant to purchase 46,110 shares of Series A-5 Convertible Preferred Stock. The shares of Series A-1 Convertible Preferred Stock had no expiration date prior to conversion.
5 Derivative Warrant (right to buy) 2023-07-11 M A 28,818 — 28,818 D $0.59 · 2023-07-11 to — 28,818 Series A-4 Convertible Preferred Stock (F1) The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share. (F4) The Tranche B Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Company's announcement of receipt of Transitional Drug Add-On Payment Adjustment approval for Renazorb.