SEC Form 4 · accession 0001209191-15-000216
Alaunos Therapeutics, Inc. · TCRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Lewis
Officer — CEO · Director
Period of report
Dec 30, 2014
Accepted (ET)
Jan 2, 2015 · 4:16 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 StockF1 | Dec 30, 2014 | F | 34,261 | $5.03 | D | 744,145 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $5.07 | Dec 31, 2014 | A | 350,000 | A | — | Dec 30, 2024 | Common Stock | 350,000 | 350,000 | D |
Explanation of responses
- F1Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants.
- F2116,666 shares shall vest on 12/31/2015; and 116,667 shares shall vest on each of 12/31/2016 and 12/31/2017.