Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-065003
Date:2020-12-21
Issuer: ARCA BIOPHARMA, INC. (ABIO)
Original Submission Date:

Reporting Person:

OZEROFF CHRISTOPHER DAVID
10170 CHURCH RANCH WAY
SUITE 100 WESTMINSTER, CO 80021

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-12-21 0 $0.00 970 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 4.27 2020-12-21 deemed execution date A 55,000 (a) 2030-12-21 common stock 55,000 $4.27 55,000 direct
Footnotes
IDfootnote
f1 grant to the reporting person of a stock option under the 2020 equity incentive plan (the plan), vesting in 48 equal monthly installments from the date of grant, provided that the reporting person's continuous service to the issuer has not been terminated as defined in or as determined under the plan prior to such time. in the event of a change in control of the issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.
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