Initial Statement of Beneficial Ownership (3)
10 Mai 2021 - 2:02PM
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
*
ABRAMS MICHAEL S |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/10/2021
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3. Issuer Name and Ticker or Trading Symbol
Arch Therapeutics, Inc. [ARTH]
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(Last)
(First)
(Middle)
235 WALNUT STREET, SUITE 6 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) CFO and Treasurer / |
(Street)
FRAMINGHAM, MA 01702
(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) |
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 |
Stock Option (Right to Buy) | (1) | 5/2/2031 | Common Stock | 500000 | $0.1329 | D | |
Explanation of Responses: |
(1) | 33.3% of the shares subject to the option shall vest on the one-year anniversary of the the grant date, and 1/24th of the remaining unvested shares subject to this grant shall vest commencing on each f the next twenty-four (24) monthly anniversaries thereater, subject to the Exectuive's continued service for the Company through each vesting date. In the event of a Change of Control (such as defined in the Plan), then, in any such case, 100% of the number of unvested Shares then subject to the grant shall accelerate and become vested as of the date of such event. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ABRAMS MICHAEL S 235 WALNUT STREET, SUITE 6 FRAMINGHAM, MA 01702 |
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| CFO and Treasurer |
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Signatures
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/s/ Michael S. Abrams | | 5/10/2021 |
**Signature of Reporting Person | Date |
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