SEC Form 4 · accession 0001140361-17-037138
GTX INC /DE/ · GTXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pyramid Peak Foundation
10% Owner
Period of report
Sep 29, 2017
Accepted (ET)
Oct 2, 2017 · 5:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001260990
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 29, 2017 | P$0 | 565,291 | — | A | 4,390,243 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (right to buy)F1,F2 | $9.02 | Sep 29, 2017 | P | 339,174 | A | — | — | Common Stock | 339,174 | 339,174 | D |
Explanation of responses
- F1The reported securities are included within 565,291 immediately separable units (each, a "Unit"). The purchase price per Unit was $8.845. Each Unit consists of one share of common stock of the registrant and a warrant to purchase 0.6 of a share of common stock of the registrant.
- F2The warrants will be exercisable at any time and from time to time on or after September 29, 2017 and through and including September 29, 2022, at an exercise price of $9.02 per share subject to adjustment from time to time.