1. Name and Address of Reporting Person * |
PJSC Pharmsynthez |
|
2. Date of Event Requiring Statement (Month/Day/Year) 01/23/2014 |
3. Issuer Name and Ticker or Trading Symbol Xenetic Biosciences, Inc. [XBIO]
|
25 LITER KRASNOVO KURSANTA ST. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director |
__X__ 10% Owner |
_____ Officer (give title below) |
_____ Other (specify below) |
|
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
ST. PETERSBURG, 1Z 197 110 |
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) |
Common Stock
|
4,544,488
|
D
|
|
Series B Preferred Stock
|
1,454,545
|
D
|
|
Common Stock
|
821,567
|
I
|
By LLC SynBio, its wholly-owned subsidiary
|
Series A Preferred Stock
|
970,000
|
I
|
By LLC SynBio, its wholly-owned subsidiary
|
|
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 |
Warrants
|
07/01/2015 |
07/01/2020 |
Common Stock
|
606,062
|
$
(1)
|
D
|
|
Warrants
|
03/31/2016 |
03/31/2021 |
Common Stock
|
353,540
|
$
(1)
|
D
|
|
Warrants
|
07/01/2016 |
07/01/2021 |
Common Stock
|
50,506
|
$
(1)
|
D
|
|
Warrants
|
08/26/2016 |
08/26/2021 |
Common Stock
|
17,980
|
$
4.95
|
D
|
|
Warrants
|
09/09/2016 |
09/09/2021 |
Common Stock
|
32,526
|
$
4.95
|
D
|
|
Class B Warrants
|
11/07/2016 |
11/07/2021 |
Common Stock
|
1,454,545
(2)
|
$
4
|
D
|
|
Warrants
|
12/31/2014 |
12/30/2019 |
Common Stock
|
204,394
(3)
|
$
25.41
|
I
|
By LLC SynBio, its wholly-owned subsidiary
|
* |
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) |
Warrants are exercisable at the lesser of (i) $6.60 per share and (ii) 120% of the price per share of Xenetic Biosciences, Inc. common stock paid in its next occurring capital raise with a value of at least $7,000,000. Warrants were granted at six various dates in Q1 2016. |
(2) |
The Reporting Person owns Class B Warrants exercisable into 1,454,545 shares of Common Stock. The exercise of such Class B Warrants is limited by the beneficial ownership limitation included in such Class B Warrants, which provides that such Class B Warrants may not be exercised if the holder thereof would own more than 4.99% of the outstanding Common Stock of the Issuer as after giving effect to such exercise. The amount of shares of Common Stock into which such Class B Warrants are exercisable was calculated for the purposes of this report without giving effect to any ownership limitation of the Reporting Person. |
(3) |
The Reporting Person's wholly owned subsidiary, LLC SynBio, owns warrants exercisable into 204,394 shares of Common Stock. Such warrants are subject to performance vesting. The vesting milestones need to be achieved by December 31, 2017 (50%) and July 31, 2018 (50%). The amount of shares of Common Stock into which such warrants are exercisable was calculated for the purposes of this report without giving effect to any performance vesting limitations. |