SEC Form 4 · accession 0001179110-15-003063
GTX INC /DE/ · GTXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Patton Doggrell
Officer — VP, Chief Legal Officer
Period of report
Feb 18, 2015
Accepted (ET)
Feb 20, 2015 · 5:01 pm EST
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 Stock | Feb 18, 2015 | A | 500,000 | $0.00 | A | 602,913 | D | |
| Common Stock | holding | — | — | — | 4,000 | I | By IRA | |
| Common Stock | holding | — | — | — | 6,641 | I | By Spouse | |
| Common Stock | holding | — | — | — | 2,177 | I | By Trust | |
| Common StockF2 | holding | — | — | — | 5,000 | I | By Trust | |
| Common Stock | holding | — | — | — | 2,177 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of GTx common stock upon the vesting of the unit. The restricted stock units will vest on the earlier to occur of (i) The consummation of a change in control; or (ii) Twenty percent (20%) on January 1, 2016, Twenty percent (20%) on January 1, 2017 and Sixty percent (60%) on January 1, 2018.
- F2The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or any other purpose.