SEC Form 4 · accession 0001140361-16-046270

Alaunos Therapeutics, Inc. · TCRT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Randal J Kirk

Director · 10% Owner

Period of report

Dec 31, 2015

Accepted (ET)

Jan 4, 2016 · 4:30 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001107421

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Dec 31, 2015	A	26,661	$0.00	A	122,309	D
Common Stock^F2	holding	—	—		—	3,479,685	I	by R.J. Kirk DOT
Common Stock^F2	holding	—	—		—	23,349	I	by JPK 2008
Common Stock^F2	holding	—	—		—	23,504	I	by MGK 2008
Common Stock^F2	holding	—	—		—	40,954	I	by ZSK 2008
Common Stock^F2	holding	—	—		—	240	I	by Lotus
Common Stock^F2	holding	—	—		—	53,245	I	by Staff 2001
Common Stock^F2	holding	—	—		—	9,537	I	by Sr. Staff
Common Stock^F2	holding	—	—		—	337,333	I	by JPK 2009
Common Stock^F2	holding	—	—		—	358,386	I	by MGK 2009
Common Stock^F2	holding	—	—		—	34,318	I	by ZSK 2009
Common Stock^F2	holding	—	—		—	29,066	I	by ADC 2010
Common Stock^F2	holding	—	—		—	154,181	I	by MGK 2011
Common Stock^F2	holding	—	—		—	138,975	I	by JPK 2012
Common Stock^F2	holding	—	—		—	61,262	I	by Kellie L. Banks LTT
Common Stock^F3	holding	—	—		—	2,359,608	I	by Kapital Joe
Common Stock^F3	holding	—	—		—	889,513	I	by Mascara Kaboom
Common Stock^F3	holding	—	—		—	395,791	I	by Senior Staff 2008
Common Stock^F3	holding	—	—		—	222,680	I	by Staff 2010
Common Stock^F3	holding	—	—		—	111,339	I	by Incentive 2010
Common Stock^F3	holding	—	—		—	352,477	I	by Senior Staff 2007
Common Stock^F3	holding	—	—		—	176,238	I	by Staff 2007
Common Stock^F3	holding	—	—		—	58,746	I	by Incentive 2007
Common Stock^F3	holding	—	—		—	173,111	I	by Staff 2009
Common Stock^F3	holding	—	—		—	86,556	I	by Incentive 2009

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Restrictions related to the grant of restricted stock will lapse one year from the grant date.
F2Randal J. Kirk controls each of Randal J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Co., Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff LLC ("Sr. Staff"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011, LLC ("MGK 2011"), JPK 2012, LLC ("JPK 2012") and Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
F3Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), Third Security Senior Staff 2007 LLC ("Senior Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Incentive 2007"), Third Security Staff 2009 LLC ("Staff 2009") and Third Security Incentive 2009 LLC ("Incentive 2009"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.