SEC Form 4 · accession 0001209191-19-002778
Alaunos Therapeutics, Inc. · TCRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurence James Neil Cooper
Officer — Chief Executive Officer · Director
Period of report
Jan 6, 2019
Accepted (ET)
Jan 8, 2019 · 4:24 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 | Jan 6, 2019 | A | 337,266 | $0.00 | A | 1,518,075 | D | |
| Common StockF2 | Jan 6, 2019 | A | 446,428 | $0.00 | A | 1,964,503 | D | |
| Common StockF3 | Jan 6, 2019 | F | 165,178 | $2.24 | D | 1,799,325 | 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)F4 | $2.24 | Jan 6, 2019 | A | 531,813 | A | — | Jan 6, 2029 | Common Stock | 531,813 | 531,813 | D |
Explanation of responses
- F1112,422 shares shall vest on each of 12/31/2019, 12/31/2020 and 12/31/2021.
- F2Pursuant to the Issuer's option plan, the Reporting Person elected to receive fully vested shares of Common Stock in lieu of a cash bonus.
- F3Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grant.
- F41/12th of the shares underlying this option will vest in equal quarterly installments commencing one quarterly period after 12/31/2018.