SEC Form 4 · accession 0001104659-18-054173
Traws Pharma, Inc. · TRAW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael B Hoffman
Director
Period of report
Aug 27, 2018
Accepted (ET)
Aug 29, 2018 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001130598
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | Aug 27, 2018 | S | 20,000 | $0.4535 | D | 5,811,116 | I | By the Michael and Jane Hoffman 2018 Descendants Trust |
| Common StockF2,F1 | Aug 28, 2018 | S | 20,000 | $0.4445 | D | 5,791,116 | I | By the Michael and Jane Hoffman 2018 Descendants Trust |
| Common StockF2,F1 | Aug 28, 2018 | S | 30,000 | $0.4569 | D | 5,761,116 | I | By the Michael and Jane Hoffman 2018 Descendants Trust |
| Common StockF2,F1 | Aug 29, 2018 | S | 29,999 | $0.4507 | D | 5,731,117 | I | By the Michael and Jane Hoffman 2018 Descendants Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are held for the benefit of the reporting person's descendants. The reporting person's spouse is a trustee of the trust. The reporting person is a general agent of the trust.
- F2Includes (i) 19,951 options to purchase shares of Common Stock of the Issuer, which are immediately exercisable or will be exercisable within 60 days of the date hereof; (ii) 5,700,836.738 shares of Common Stock held by the Michael and Jane Hoffman 2018 Descendants Trust, of which Mr. Hoffman is donor (which includes 2,211,765 shares of Common Stock issuable upon the exercise of warrants for 55,294.125 shares of Series B Preferred Stock that convert into shares of Common Stock and 396,633 shares of Common Stock issuable upon the exercise of warrants, all of which are immediately exercisable or exercisable within 60 days hereof); and (iii) 8,453 shares of Common Stock held by the Michael and Jane Hoffman 2013 Descendants Trust (Non-GST Exempt Trust), of which Mr. Hoffman is donor.