Statement of Changes in Beneficial Ownership (4)
January 31 2022 - 4:56PM
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).
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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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
*
Plesha Scott M. |
2. Issuer Name and Ticker or Trading Symbol
BIODELIVERY SCIENCES INTERNATIONAL INC
[
BDSI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
See Remarks |
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(Last)
(First)
(Middle)
C/O BIODELIVERY SCIENCES INTL, INC.,, 4131 PARKLAKE AVE. SUITE 225 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/27/2022 |
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(Street)
RALEIGH, NC 27612
(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 | 1/27/2022 | | M | | 21050 | A | $0 | 320924 | D | |
| Common Stock | 1/31/2022 | | M | | 10869 | A | $0 | 331793 | D | |
| Common Stock | 1/31/2022 | | M | | 13334 | A | $0 | 345127 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Options (right to buy) | $3.66 (1) | 1/27/2022 | | A (2) | | 369721 | | (2) | 1/26/2032 | Common Stock | 369721.0 | $3.66 | 369721 | D | |
| Restricted Stock Units | $0.0 | 1/27/2022 | | A (3) | | 66257 | | (4) | 1/27/2025 | Common Stock | 66257.0 | $0 | 66257 | D | |
| Restricted Stock Units | $0.0 | 1/27/2022 | | M | | | 21050 | (5) | 1/27/2024 | Common Stock | 21050.0 | $0 | 42101 | D | |
| Restricted Stock Units | $0.0 | 1/29/2022 | | M | | | 10869 | (6) | 1/29/2023 | Common Stock | 10869.0 | $0 | 10870 | D | |
| Restricted Stock Units | $0.0 | 1/31/2022 | | M | | | 13334 | (7) | 1/31/2022 | Common Stock | 13334.0 | $0 | 0 | D | |
| Explanation of Responses: |
| (1) | The exercise price of the stock options issued to the Reporting Person is equal to the closing price of the Issuer's common stock on January 27, 2022. |
| (2) | The stock options were issued to the Reporting Person on January 27, 2022, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2023; (ii) January 27, 2024; and (iii) January 27, 2025. |
| (3) | The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2023; (ii) January 27, 2024; and (iii) January 27, 2025. |
| (4) | Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock. |
| (5) | The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 27, 2021, under the Plan. The remaining RSUs will vest in equal portions on: (i) January 27, 2023; and (ii) January 27, 2024. |
| (6) | The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 29, 2020, under the Plan. The remaining RSUs vest on January 29, 2023. |
| (7) | The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 31, 2019, under the Issuer's 2011 Equity Incentive Plan. |
Remarks:
President and Chief Commercial Officer |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Plesha Scott M.
C/O BIODELIVERY SCIENCES INTL, INC.,
4131 PARKLAKE AVE. SUITE 225
RALEIGH, NC 27612 |
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| See Remarks |
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Signatures
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| /s/ Scott Plesha | | 1/31/2022 |
| **Signature of Reporting Person | Date |
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