COCP director buys 20,000 shares, 40,000 warrants at $1.24

Cocrystal Pharma (COCP) director Richard Pfenniger reported a purchase on 10/28/2025.

Rhea-AI Filing Summary

Cocrystal Pharma (COCP) director Richard Pfenniger reported a purchase on 10/28/2025. He acquired 20,000 shares of common stock as part of units priced at $1.39 per unit, with each unit consisting of one share and a warrant to buy two shares. He also acquired 40,000 warrants with an exercise price of $1.24 and an expiration of 01/28/2028; the warrants were exercisable upon issuance.

Following the transactions, he beneficially owned 31,400 shares directly, which includes shares issuable upon vesting of restricted stock units. The purchase was approved by a Special Committee of the Board under Rule 16b-3.

Insider Trade Summary

Grant/Award: 60,000 shares

Grant/Award 2 txns

Insider PFENNIGER RICHARD C JR

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Warrants	40,000	$1.39	$56K
Grant/Award	Common Stock	20,000	$0.00	$0.00

Holdings After Transaction: Warrants — 40,000 contracts (Direct); Common Stock — 31,400 shares (Direct)

Footnotes (2)

1. F1. The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.
2. F2. Includes shares of common stock issuable upon vesting of restricted stock units.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did COCP director Richard Pfenniger report on Form 4?

He acquired 20,000 shares at $1.39 per unit and 40,000 warrants with a $1.24 exercise price on 10/28/2025.

How many COCP shares does the director own after the transaction?

He beneficially owned 31,400 shares directly after the reported transactions.

What are the terms of the COCP warrants acquired?

The director acquired 40,000 warrants, exercisable at $1.24, expiring on 01/28/2028, and exercisable upon issuance.

What was included in the unit price of $1.39 for COCP?

Each $1.39 unit included one share of common stock and one warrant to purchase two shares.

Was the COCP insider transaction exempt under Rule 16b-3?

Yes. It was approved by a Special Committee of the Board, qualifying under Rule 16b-3.

Do the post-transaction COCP shares include RSUs?

Yes. The 31,400 shares include shares issuable upon vesting of restricted stock units.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 10/30/2025 - 04:15 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

PFENNIGER RICHARD C JR

(Last) (First) (Middle)

4400 BISCAYNE BLVD.

(Street)

MIAMI FL 33137

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Cocrystal Pharma, Inc. [ COCP ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
10/28/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock(1)	10/28/2025		A		20,000	A	(1)	31,400(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Warrants(1)	$1.24	10/28/2025		A		40,000		(1)	01/28/2028	Common Stock	40,000	$1.39	40,000	D

Explanation of Responses:

1. The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

2. Includes shares of common stock issuable upon vesting of restricted stock units.

	/s/ Richard Pfenniger	10/30/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.