0001171843-20-002259.txt : 20200401 0001171843-20-002259.hdr.sgml : 20200401 20200401161812 ACCESSION NUMBER: 0001171843-20-002259 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200401 FILED AS OF DATE: 20200401 DATE AS OF CHANGE: 20200401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carter Roderick Noel CENTRAL INDEX KEY: 0001807558 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35776 FILM NUMBER: 20765618 MAIL ADDRESS: STREET 1: 545 PROMENADE DU CENTROPOLIS STREET 2: SUITE 100 CITY: LAVAL STATE: A8 ZIP: H7T 0A3 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Acasti Pharma Inc. CENTRAL INDEX KEY: 0001444192 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: A8 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 545 PROMENADE DU CENTROPOLIS, SUITE 100 CITY: LAVAL STATE: A8 ZIP: H7T 0A3 BUSINESS PHONE: 450-686-4555 MAIL ADDRESS: STREET 1: 545 PROMENADE DU CENTROPOLIS, SUITE 100 CITY: LAVAL STATE: A8 ZIP: H7T 0A3 3 1 ownership.xml X0206 3 2020-04-01 0 0001444192 Acasti Pharma Inc. ACST 0001807558 Carter Roderick Noel C/O ACASTI PHARMA INC. 545 PROMENADE DU CENTROPOLIS, SUITE 100 LAVAL A8 H7T 0A3 QUEBEC, CANADA 1 0 0 0 Share Option (Right to Buy) 4.80 2022-08-19 Common Shares 10000 D Share Option (Right to Buy) 1.99 2023-05-30 Common Shares 200000 D Share Option (Right to Buy) 1.77 2027-06-14 Common Shares 30600 D Share Option (Right to Buy) 1.77 2027-06-14 Common Shares 20400 D Share Option (Right to Buy) 0.77 2028-07-02 Common Shares 80377 D Share Option (Right to Buy) 1.28 2029-04-15 Common Shares 17700 D Share Option (Right to Buy) 1.28 2029-04-15 Common Shares 60500 D Share Option (Right to Buy) 0.53 2030-03-31 Common Shares 86000 D Represents 10,000 common shares underlying 10,000 share options granted on August 19, 2015. These share options vested in 6 equal installments on a quarterly basis starting from August 19, 2015 until February 19, 2017. Represents 200,000 common shares underlying 200,000 share options granted on May 30, 2016. These share options vested in 6 equal installments on a quarterly basis starting from May 30, 2016 until November 30, 2017. Represents 30,600 common shares underlying 30,600 share options granted on June 14, 2017. These share options vested in 6 equal installments on a quarterly basis starting from June 14, 2017 until December 14, 2018. Represents 20,400 common shares underlying 20,400 share options granted on June 14, 2017. These share options vested in 6 equal installments on a quarterly basis starting from June 14, 2017 until December 14, 2018. Represents 80,377 common shares underlying 80,377 share options granted on July 2, 2018. These share options vested in 6 equal installments on a quarterly basis starting from July 2, 2018 until January 2, 2020. Represents 17,700 common shares underlying 17,700 share options granted on April 15, 2019. These share options vest in 6 equal installments on a quarterly basis starting from April 15, 2019 until October 15, 2020. Represents 60,500 common shares underlying 60,500 share options granted on April 15, 2019. These share options vest in 6 equal installments on a quarterly basis starting from April 15, 2019 until October 15, 2020. Represents 86,000 common shares underlying 86,000 share options granted on March 31, 2020. These share options vest in 12 equal installments on a monthly basis starting from March 31, 2020 until March 31, 2021. Canadian dollars. Exhibit List - Exhibit 24 - Power of Attorney /s/ Kelsey Weiner, Attorney-in-Fact 2020-04-01 EX-24.1 2 exh_241.htm EXHIBIT 24.1

Exhibit 24.1

 

 

POWER OF ATTORNEY

 

KNOW ALL PERSONS BY THESE PRESENTS that the undersigned hereby constitutes, designates and appoints Janelle D’Alvise, Jean-Francois Boily, Francois Paradis, Jason Comerford, Jie Chai and Kelsey Weiner as such person's true and lawful attorneys-in-fact and agents, each with full power of substitution and resubstitution and full power to act alone and without the other, for the undersigned and in the undersigned's name, place and stead, in any and all capacities, to:

 

(a) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID (or any successor form), including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) or any rule or regulation of the SEC promulgated thereunder;

 

(b) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Acasti Pharma Inc. (the "Company"), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder (or any successor forms);

 

(c) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

 

(d) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact, except that in respect of any person herein appointed as an attorney-in-fact of the undersigned, this Power of Attorney shall be revoked and shall cease to be effective immediately with respect to such person at such time as such person shall no longer be employed by any of the Company and its subsidiaries.

 

 

 

[Signature Page Follows]

 

 
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IN WITNESS WHEREOF, the undersigned has executed this instrument as of the 1st day of April, 2020.

 

 

Name: Roderick Carter /s/ Roderick Carter