0001102624-13-000218.txt : 20130220 0001102624-13-000218.hdr.sgml : 20130220 20130220180539 ACCESSION NUMBER: 0001102624-13-000218 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130219 FILED AS OF DATE: 20130220 DATE AS OF CHANGE: 20130220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Krivulka Joseph J CENTRAL INDEX KEY: 0001296750 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 13628144 MAIL ADDRESS: STREET 1: 110 ALLEN ROAD CITY: LIBERTY CORNER STATE: NJ ZIP: 07938 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AEOLUS PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001261734 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 561953785 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 26361 CROWN VALLEY PARKWAY, SUITE 150 CITY: MISSION VIEJO STATE: CA ZIP: 92691 BUSINESS PHONE: 9494819825 MAIL ADDRESS: STREET 1: 26361 CROWN VALLEY PARKWAY, SUITE 150 CITY: MISSION VIEJO STATE: CA ZIP: 92691 FORMER COMPANY: FORMER CONFORMED NAME: INCARA PHARMACEUTICALS CORP DATE OF NAME CHANGE: 20031205 FORMER COMPANY: FORMER CONFORMED NAME: INCARA INC DATE OF NAME CHANGE: 20030828 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-02-19 0 0001261734 AEOLUS PHARMACEUTICALS, INC. AOLS 0001296750 Krivulka Joseph J C/O AEOLUS PHARMACEUTICALS, INC. 26361 CROWN VALLEY PARKWAY, INC. STE 150 MISSION VIEJO CA 92691 1 0 0 0 Common Stock, $0.01 par value per share 2013-02-19 4 P 0 400000 A 733333 D Warrants (right to buy) 0.25 2013-02-19 4 P 0 400000 A 2013-02-19 2018-02-19 Common Stock 400000 400000 D (1) Pursuant to a Securities Purchase Agreement by and between Aeolus Pharmaceuticals, Inc., a Delaware corporation (the "Company"), and Mr. Krivulka, dated as of February 19, 2013, the Company issued and sold 400,000 Units (the "Units") to Mr. Krivulka for a purchase price of $100,000. Each Unit is comprised of one (1) share of the Company's common stock, $0.01 par value per share (the "Common Stock"), and one (1) warrant to purchase one (1) share of Common Stock with an initial exercise price of $0.25 per share of Common Stock, subject to certain adjustments. /s/ John L. McManus, by power of attorney 2013-02-20