- Statement of Changes in Beneficial Ownership (4)
19 Oktober 2009 - 10:55PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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February 28, 2011
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Phillips Scott B.
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2. Issuer Name
and
Ticker or Trading Symbol
Winston Pharmaceuticals, Inc.
[
WPHM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
SVP, Scientific Affairs
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(Last)
(First)
(Middle)
C/O WINSTON PHARMACEUTICALS, INC., 100 N. FAIRWAY DRIVE, SUITE 134
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/16/2009
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(Street)
VERNON HILLS, IL 60061
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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10/16/2009
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S
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6500
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D
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$0.77
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650157
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D
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Common Stock
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10/16/2009
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S
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13500
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D
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$0.58
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636657
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D
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Common Stock
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10/16/2009
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M
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25000
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A
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$0.28
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661657
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Common Stock Options
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$0.28
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10/16/2009
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X
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25000
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10/18/2000
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10/18/2009
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Common Stock
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25000
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$0
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0
(1)
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D
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Explanation of Responses:
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(
1)
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Reported amount excludes: (i) options to purchase 205,193 shares of the Company's common stock, initially exercisable on 12/10/2003 and expiring on 12/10/2012, at an exercise price of $0.33; (ii) options to purchase 231,670 shares of the Company's common stock, initially exercisable on 01/12/2005 and expiring on 01/12/2014, at an exercise price of $0.33; (iii) options to purchase 661,913 shares of the Company's common stock, initially exercisable on 04/06/2006 and expiring on 04/06/2015, at an exercise price of $0.34; (iv) options to purchase 50,000 shares of the Company's common stock, initially exercisable on 04/07/2010 and expiring on 04/07/2019, at an exercise price of $1.53; and (v) options to purchase 372,147 shares of the Company common stock, initially exercisable on 10/18/2000, which options expired on 10/18/2009.
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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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Phillips Scott B.
C/O WINSTON PHARMACEUTICALS, INC.
100 N. FAIRWAY DRIVE, SUITE 134
VERNON HILLS, IL 60061
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X
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SVP, Scientific Affairs
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Signatures
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/s/ Scott B. Phillips
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10/19/2009
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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 4(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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