SEC Form 4 · accession 0001140361-16-056843
SEELOS THERAPEUTICS, INC. · SEEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Alexander J Denner
10% Owner
Sarissa Capital Domestic Fund LP
10% Owner
Sarissa Capital Management LP
10% Owner
Period of report
Mar 3, 2016
Accepted (ET)
Mar 7, 2016 · 5:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001017491
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 3, 2016 | P | 6,647,728 | $0.88 | A | 14,479,053 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to Purchase Common StockF2,F3 | $0.88 | Mar 3, 2016 | P | 3,323,864 | A | Sep 4, 2016 | Mar 3, 2023 | Common Stock | 3,323,864 | 6,724,525 | I |
Explanation of responses
- F1See Exhibit 99.1; Note 1.
- F2See Exhibit 99.1; Note 2.
- F3See Exhibit 99.1; Note 3.