0001104659-21-121632.txt : 20211001 0001104659-21-121632.hdr.sgml : 20211001 20211001081108 ACCESSION NUMBER: 0001104659-21-121632 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210927 FILED AS OF DATE: 20211001 DATE AS OF CHANGE: 20211001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DHILLON PUNIT CENTRAL INDEX KEY: 0001425052 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54986 FILM NUMBER: 211297161 MAIL ADDRESS: STREET 1: 5820 NANCY RIDGE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Arch Therapeutics, Inc. CENTRAL INDEX KEY: 0001537561 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 460524102 STATE OF INCORPORATION: NV FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 235 WALNUT STREET, SUITE 6 CITY: FRAMINGHAM STATE: MA ZIP: 01702 BUSINESS PHONE: 617-431-2313 MAIL ADDRESS: STREET 1: 235 WALNUT STREET, SUITE 6 CITY: FRAMINGHAM STATE: MA ZIP: 01702 FORMER COMPANY: FORMER CONFORMED NAME: ALMAH,INC DATE OF NAME CHANGE: 20111216 4 1 tm2129012d2_4.xml FORM 4 X0306 4 2021-09-27 1 0001537561 Arch Therapeutics, Inc. ARTH 0001425052 DHILLON PUNIT C/O ARCH THERAPEUTICS, INC. 235 WALNUT STREET, SUITE 6 FRAMINGHAM MA 01702 1 0 0 0 Stock Option (right to buy) 0.1028 2021-09-27 4 A 0 250000 0 A 2031-09-26 Common Stock 250000 250000 D Stock Option (right to buy) 0.1028 2021-09-27 4 A 0 250000 0 A 2031-09-26 Common Stock 250000 250000 D The option was granted pursuant to the Issuer's 2013 Stock Incentive Plan (the "Plan"). The option shall vest equally on each of the first 36 month anniversaries of the grant date, subject to continued service to the Issuer through each vesting date. In the event of a Change of Control (as such term is defined in the Plan), 100% of the number of unvested shares then subject to the option shall accelerate and become immediately exercisable. The option was granted pursuant to the Plan. 1/3 of the option vested on the grant date and the remainder of the option shall vest equally on each of the first 24 month anniversaries of the grant date, subject to continued service to the Issuer through each vesting date. In the event of a Change of Control (as such term is defined in the Plan), 100% of the number of unvested shares then subject to the option shall accelerate and become immediately exercisable. /s/ Punit Dhillon 2021-09-30