Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| REGENERX BIOPHARMACEUTICALS INCRGRX · Entity 111578 | Member of 10% owner group | July 03, 2023 | July 06, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
REGENERX BIOPHARMACEUTICALS INC
Report date July 03, 2023 · Filed July 06, 2023
Jointly reported with Essetifin SPA, CAVAZZA PAOLO, Cavazza Enrico, Cavazza Francesca, Cavazza Silvia, Cavazza Preta Martina
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Convertible Promissory Note (right to buy)SEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
After 2023-07-03 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-07-03 · Purchase · Acquired Not disclosed · Balance Not disclosed F7: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F8: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Convertible Promissory Note (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2023-07-03 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F1: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "2019 Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "2019 Notes") and warrants to acquire the issuer's common stock (the "2019 Warrants"), in two $500,000 tranches. Each tranche consisted of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the 2019 Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant"). F2: The 2019 Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2019 Notes into shares of the issuer's common stock at a conversion price of $0.12 per share. The 2019 Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Convertible Promissory Note (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2023-07-03 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F1: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "2019 Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "2019 Notes") and warrants to acquire the issuer's common stock (the "2019 Warrants"), in two $500,000 tranches. Each tranche consisted of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the 2019 Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant"). F2: The 2019 Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2019 Notes into shares of the issuer's common stock at a conversion price of $0.12 per share. The 2019 Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Convertible Promissory Note (right to buy)SEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2023-07-03 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance Not disclosed F4: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant"). F5: The 2020 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2020 Note into shares of the issuer's common stock at a conversion price equal to the closing price of the issuer's common stock as of October 14, 2020, less a 20% discount (approximately $0.3592 per share). The 2020 Note is payable upon the written demand of the holder thereof at any time after October 14, 2025. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 1,113,586 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.02 · Expires 2028-07-02 | Direct | 3,750,000 |
Reported balance
After 2023-07-03 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2023-07-03 · Other · Acquired 3,750,000 · Balance 3,750,000 F7: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F9: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date. F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.18 · Expires 2024-02-26 | Direct | 3,125,000 |
Reported balance
Holding disclosure · report date 2023-07-03 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 3,125,000 F1: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "2019 Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "2019 Notes") and warrants to acquire the issuer's common stock (the "2019 Warrants"), in two $500,000 tranches. Each tranche consisted of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the 2019 Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant"). F3: Each of the February 2019 Warrant and the May 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock, or an aggregate of 6,250,000 shares. The February 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is six months after the date of purchase, through February 26, 2024, the fifth anniversary of such date. The May 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from November 13, 2019, the date that is six months after the date of purchase, through March 1, 2024, at which time it is void. F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.18 · Expires 2024-03-01 | Direct | 3,125,000 |
Reported balance
Holding disclosure · report date 2023-07-03 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 3,125,000 F1: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "2019 Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "2019 Notes") and warrants to acquire the issuer's common stock (the "2019 Warrants"), in two $500,000 tranches. Each tranche consisted of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the 2019 Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant"). F3: Each of the February 2019 Warrant and the May 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock, or an aggregate of 6,250,000 shares. The February 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is six months after the date of purchase, through February 26, 2024, the fifth anniversary of such date. The May 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from November 13, 2019, the date that is six months after the date of purchase, through March 1, 2024, at which time it is void. F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.45 · Expires 2025-10-15 | Direct | 835,189 |
Reported balance
Holding disclosure · report date 2023-07-03 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 835,189 F4: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant"). F6: The 2020 Warrant is exercisable into up to 835,189 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from April 15, 2021, the date that is six months after the date of purchase, through October 15, 2025, the fifth anniversary of such date. F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 34,989,080 |
Reported balance
Holding disclosure · report date 2023-07-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 34,989,080 F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,500,000 |
Reported balance
Holding disclosure · report date 2023-07-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,500,000 F12: Paolo Cavazza owns 99% of the equity interests of Apta Finance SA, which in turn owns 100% of the equity interests of Aptafin. Mr. Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Aptafin. Mr. Cavazza disclaims beneficial ownership of all securities of the issuer held by Aptafin except to the extent of any pecuniary interest therein. |
| Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.28 · Expires 2026-06-30 | IndirectSee Footnote | 1,125,000 |
Reported balance
Holding disclosure · report date 2023-07-03 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 1,125,000 F10: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement, pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000. Aptafin received two warrants in the transaction, one of which expired June 30, 2023 and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share. F12: Paolo Cavazza owns 99% of the equity interests of Apta Finance SA, which in turn owns 100% of the equity interests of Aptafin. Mr. Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Aptafin. Mr. Cavazza disclaims beneficial ownership of all securities of the issuer held by Aptafin except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "2019 Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "2019 Notes") and warrants to acquire the issuer's common stock (the "2019 Warrants"), in two $500,000 tranches. Each tranche consisted of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the 2019 Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").
F2: The 2019 Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2019 Notes into shares of the issuer's common stock at a conversion price of $0.12 per share. The 2019 Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.
F3: Each of the February 2019 Warrant and the May 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock, or an aggregate of 6,250,000 shares. The February 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is six months after the date of purchase, through February 26, 2024, the fifth anniversary of such date. The May 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from November 13, 2019, the date that is six months after the date of purchase, through March 1, 2024, at which time it is void.
F4: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").
F5: The 2020 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2020 Note into shares of the issuer's common stock at a conversion price equal to the closing price of the issuer's common stock as of October 14, 2020, less a 20% discount (approximately $0.3592 per share). The 2020 Note is payable upon the written demand of the holder thereof at any time after October 14, 2025. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 1,113,586 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.
F6: The 2020 Warrant is exercisable into up to 835,189 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from April 15, 2021, the date that is six months after the date of purchase, through October 15, 2025, the fifth anniversary of such date.
F7: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").
F8: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.
F9: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date.
F10: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement, pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000. Aptafin received two warrants in the transaction, one of which expired June 30, 2023 and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.
F11: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein.
F12: Paolo Cavazza owns 99% of the equity interests of Apta Finance SA, which in turn owns 100% of the equity interests of Aptafin. Mr. Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Aptafin. Mr. Cavazza disclaims beneficial ownership of all securities of the issuer held by Aptafin except to the extent of any pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 03, 2023 Filed Jul 6, 2023 16:30 UTC | REGENERX BIOPHARMACEUTICALS INC RGRX · Entity 111578 | OtherCommon Stock Warrant (right to buy) · Derivative | 3,750,000 | Not disclosed Strike: $0.02 | Not disclosed |
DisclosureSEC source: 0001213900-23-055186 · ownership.xml · derivative · entry 10 Essetifin SPA · CIK 0001092601 · 10% owner CAVAZZA PAOLO · CIK 0001163608 · 10% owner Cavazza Enrico · CIK 0001525744 · 10% owner Cavazza Francesca · CIK 0001525742 · 10% owner Cavazza Silvia · CIK 0001525743 · 10% owner Cavazza Preta Martina · CIK 0001718557 · 10% owner APTAFIN S P A · CIK 0001232942 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,750,000 Underlying: Common Stock · 3,750,000 shares Expires 2028-07-02 F7 · derivative.exercise_price: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F9 · derivative.exercise_price: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date. F7 · shares: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F9 · shares: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date. F7 · price: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F9 · price: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date. F7 · derivative.underlying_shares: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F9 · derivative.underlying_shares: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date. F7 · balance_after: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F9 · balance_after: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date. F11 · ownership.direct: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 16:30 UTC | REGENERX BIOPHARMACEUTICALS INC RGRX · Entity 111578 | PurchaseConvertible Promissory Note (right to buy) · Derivative | Not disclosed | $50,000.00 | $50,000.00 |
DisclosureSEC source: 0001213900-23-055186 · ownership.xml · derivative · entry 9 Essetifin SPA · CIK 0001092601 · 10% owner CAVAZZA PAOLO · CIK 0001163608 · 10% owner Cavazza Enrico · CIK 0001525744 · 10% owner Cavazza Francesca · CIK 0001525742 · 10% owner Cavazza Silvia · CIK 0001525743 · 10% owner Cavazza Preta Martina · CIK 0001718557 · 10% owner APTAFIN S P A · CIK 0001232942 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F7 · derivative.exercise_price: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F8 · derivative.exercise_price: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F7 · reported_value: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F8 · reported_value: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F7 · price: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F8 · price: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F7 · derivative.expiration_date: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F8 · derivative.expiration_date: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F7 · derivative.underlying_shares: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F8 · derivative.underlying_shares: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F7 · valueOwnedAfter: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant"). F8 · valueOwnedAfter: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion. F11 · ownership.direct: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.