John K. Scott Jr. - 10 Apr 2022 Form 4 Insider Report for NAVIDEA BIOPHARMACEUTICALS, INC.

Role
Director, 10%+ Owner
Signature
/s/ Erika L. Eves for John K. Scott, Jr. by power of attorney
Issuer symbol
N/A
Transactions as of
10 Apr 2022
Net transactions value
-$113,608
Form type
4
Filing time
03 May 2022, 19:12:16 UTC
Previous filing
31 Mar 2022
Next filing
01 Jun 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NAVB Common Stock Award $0 +2,500 +0.03% $0.000000 8,093,395 30 Apr 2022 Direct F1, F2
transaction NAVB Series G Redeemable Preferred Stock Purchase +3,260 3,260 10 Apr 2022 Direct F4
holding NAVB Common Stock 10,139 10 Apr 2022 By spouse and children F3

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 NAVB Series E Redeemable Convertible Preferred Stock Sale $115,000 -50,000 -100% $2.30* 0 10 Apr 2022 Common Stock 2,173,913 $2.30 Direct F4
transaction NAVB Series F Redeemable Convertible Preferred Stock Purchase $1,392 +1,740 $0.8000* 1,740 10 Apr 2022 Common Stock 2,175,000 $0.8000 Direct F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Stock issued under the Amended and Restated 2014 Stock Incentive Plan in partial payment of monthly non-employee director fees.
F2 Issuance deferred at the request of the Reporting Person.
F3 Includes 2,639 shares of Common Stock owned by the Reporting Person's spouse and 7,500 shares of Common Stock owned by the Reporting Person's children. The Reporting Person may be deemed to have shared voting and/or dispositive power with respect to such shares.
F4 Series E Redeemable Convertible Preferred Stock, par value $.001 per share, was exchanged for Series F Redeemable Convertible Preferred Stock, par value $.001 per share, and Series G Redeemable Preferred Stock, par value $.001 per share.
F5 Series F Redeemable Convertible Preferred Stock, par value $.001 per share, is convertible at any time and has no expiration date.