1. Name and Address of Reporting Person * |
Giuffre Randall Michael |
|
2. Date of Event Requiring Statement (Month/Day/Year) 12/06/2018 |
3. Issuer Name and Ticker or Trading Symbol DiaMedica Therapeutics Inc. [DMAC]
|
2 CARLSON PARKWAY, SUITE 260 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director |
_____ 10% Owner |
_____ Officer (give title below) |
_____ Other (specify below) |
|
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
MINNEAPOLIS, MN 55447 |
6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
|
Table I - Non-Derivative Securities Beneficially Owned |
|
1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Voting Common Shares, no par value per share
|
74,554
(1)
|
D
|
|
Voting Common Shares, no par value per share
|
5,165
|
I
|
See footnote
(2)
|
Voting Common Shares, no par value per share
|
21,070
|
I
|
By Spouse
|
Voting Common Shares, no par value per share
|
54,186
|
I
|
By Children
|
|
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (right to buy)
|
(3)
|
10/06/2021 |
Voting Common Shares
|
1,250
|
$
17.31
(4)
|
D
|
|
Stock Option (right to buy)
|
(5)
|
05/09/2022 |
Voting Common Shares
|
1,250
|
$
25.58
(4)
|
D
|
|
Stock Option (right to buy)
|
(6)
|
10/31/2022 |
Voting Common Shares
|
1,250
|
$
24.98
(4)
|
D
|
|
Stock Option (right to buy)
|
(7)
|
06/25/2023 |
Voting Common Shares
|
1,250
|
$
16.1
(4)
|
D
|
|
Stock Option (right to buy)
|
(8)
|
11/06/2023 |
Voting Common Shares
|
1,250
|
$
12.94
(4)
|
D
|
|
Stock Option (right to buy)
|
(9)
|
12/01/2025 |
Voting Common Shares
|
12,000
|
$
2.26
(4)
|
D
|
|
Stock Option (right to buy)
|
(10)
|
11/28/2026 |
Voting Common Shares
|
5,000
|
$
3.91
(4)
|
D
|
|
Stock Option (right to buy)
|
(11)
|
06/19/2027 |
Voting Common Shares
|
5,000
|
$
4.82
(4)
|
D
|
|
Stock Option (right to buy)
|
(12)
|
04/17/2028 |
Voting Common Shares
|
3,000
|
$
8.43
(4)
|
D
|
|
Warrant
|
(13)
|
03/28/2020 |
Voting Common Shares
|
11,225
|
$
7
|
D
|
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Includes 4,146 voting common shares issuable upon settlement of deferred share units granted under the DiaMedica Therapeutics Inc. Deferred Share Unit Plan, 36,498 voting common shares held by Michael Giuffre and his wife jointly and 33,910 voting common shares held by Michael Giuffre individually. |
(2) |
These voting common shares held by 424822 Albert Ltd, of which Michael Giuffre has sole voting and dispositive power. |
(3) |
This stock option vests in 12 equal quarterly installments over three years starting on January 6, 2012. |
(4) |
Represents the conversion of the exercise price from CAD$ to US$ on November 30, 2018. |
(5) |
This stock option vests in 12 equal quarterly installments over three years starting on August 9, 2012. |
(6) |
This stock option vests in 12 equal quarterly installments over three years starting on January 31, 2013 |
(7) |
This stock option vests in 12 equal quarterly installments over three years starting on September 25, 2013. |
(8) |
This stock option vests in 12 equal quarterly installments over three years starting on February 6, 2014. |
(9) |
This stock option vests in 12 equal quarterly installments over three years starting on March 1, 2016. |
(10) |
This stock option vests in 12 equal quarterly installments over three years starting on February 28, 2017. |
(11) |
This stock option vests in 12 equal quarterly installments over three years starting on September 19, 2017. |
(12) |
This stock option vests in 12 equal quarterly installments over three years starting on July 17, 2018. |
(13) |
This warrant is fully vested. |