FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/06/2018 |
3. Issuer Name and Ticker or Trading Symbol
DiaMedica Therapeutics Inc. [ DMAC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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) |
Voting Common Shares, no par value per share | 1,000,000 | I | See Footnote(1) |
Voting Common Shares, no par value per share | 3,850(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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) | (3) | 06/19/2027 | Voting Common Shares | 5,000 | $4.82(4) | D | |
Stock Option (right to buy) | (5) | 04/17/2028 | Voting Common Shares | 3,000 | $8.43(4) | D |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. These voting common shares are held by Hermeda Industrial Co., Limited, Zhenyu Xiao, Ph.D. is the Director of Hermeda Industrial Co., Limited and has sole voting and dispositive power over the voting common shares held by Hermeda Industrial Co., Limited. |
2. These voting common shares are issuable upon settlement of deferred share units granted under the DiaMedica Therapeutics Inc. Deferred Share Unit Plan. |
3. This stock option vests in 12 equal quarterly installments over three years starting on September 19, 2017. |
4. Represents the conversion of the exercise price from CAD$ to US$ on November 30, 2018. |
5. This stock option vests in 12 equal quarterly installments over three years starting on July 17, 2018. |
/s/ Amy Culbert, attorney-in-fact | 12/06/2018 | |
Hermeda Industrial Co., Limited, By: /s/Zhenyu Xiao, Director | 12/06/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |