0001104659-23-042746.txt : 20230406 0001104659-23-042746.hdr.sgml : 20230406 20230406162633 ACCESSION NUMBER: 0001104659-23-042746 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230406 FILED AS OF DATE: 20230406 DATE AS OF CHANGE: 20230406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jayasuriya Anula CENTRAL INDEX KEY: 0001822933 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36714 FILM NUMBER: 23806508 MAIL ADDRESS: STREET 1: 5150 EL CAMINO REAL, SUITE #A-32 CITY: LOS ALTOS STATE: CA ZIP: 94022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Jaguar Health, Inc. CENTRAL INDEX KEY: 0001585608 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 PINE STREET SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 415-371-8300 MAIL ADDRESS: STREET 1: 200 PINE STREET SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 FORMER COMPANY: FORMER CONFORMED NAME: Jaguar Animal Health, Inc. DATE OF NAME CHANGE: 20130830 4 1 tm2311973-1_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-04-06 0 0001585608 Jaguar Health, Inc. JAGX 0001822933 Jayasuriya Anula C/O JAGUAR HEALTH, INC. 200 PINE STREET, SUITE 400 SAN FRANCISCO CA 94104 1 0 0 0 0 Restricted stock units 2023-04-06 4 A 0 1718 0 D Common Stock 1718 1718 D Granted pursuant to the issuer's 2014 Stock Incentive Plan (the "Plan"). Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. The RSU grant, effective April 6, 2023, was approved by the issuer's board of directors on June 30, 2022, subject to the issuer having sufficient authorized shares of common stock under the Plan on or before June 30, 2023. Following the issuer's filing of a registration statement on Form S-8 on April 6, 2023 to reflect the automatic increase in the number of shares of common stock authorized for issuance under the 2014 Plan in an amount equal to 5% of the total number of shares outstanding on December 31st of the preceding calendar year pursuant to the terms of the Plan, the Company had sufficient authorized shares of common stock under the Plan for the RSU grant and the RSU grant became effective as of such date. The issuer's board of directors originally approved the grant of 128,851 RSUs on June 30, 2022, subject to the conditions described in footnote 3 above. On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. As a result, the 128,851 RSUs originally approved by the Board were adjusted to 1,718 RSUs to reflect the Reverse Stock Split. The RSUs vest in full on July 1, 2023, the first anniversary of the service start date. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice, subject to the reporting person's continuous services through such vesting date. /s/ Jonathan Wolin, Attorney-in-Fact 2023-04-06