SEC Form 4 · accession 0001179110-16-028544

Traws Pharma, Inc. · TRAW

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

Reporting owner

Officer — President and CEO · Director

Period of report

Jul 26, 2016

Accepted (ET)

Aug 10, 2016 · 8:30 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 Stock^F1,F3	Jul 29, 2016	X	50,765	$4.10	A	78,417	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Subscription Right (right to buy)^F1	$4.10	Jul 26, 2016	X	41,475	D	Jul 8, 2016	Jul 26, 2016	See footnote	41,475	0	D
Warrants (right to buy)^F1,F2	$4.92	Jul 29, 2016	X	38,071	A	Jul 29, 2016	Jul 27, 2021	Common Stock	38,071	38,071	D

F1The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by the Issuer to all holders of the Issuer's common stock. Each holder received 1.5 subscription rights per share of stock owned, and each right allowed the recipient to purchase one unit, consisting of one share of common stock and 0.75 of a warrant to purchase one share of common stock. The subscription price per unit was $4.10. Holders of the subscription rights, including the Reporting Person, also had an overallotment privilege to subscribe for additional units not purchased by other holders, subject to allocation. The allocation of the overallotment privilege to persons who hold their securities through a broker was completed on August 1, 2016.
F2Each warrant entitles the holder to purchase one share of common stock at an exercise price of $4.92 from the date of issuance through July 27, 2021.
F337,510 shares are held by the Ramesh Kumar 2012 Trust, of which the reporting person is a trustee.