SEC Form 4 · accession 0001179110-16-030309
GTX INC /DE/ · GTXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Hyde III
Director · 10% Owner
Period of report
Oct 3, 2016
Accepted (ET)
Oct 4, 2016 · 5:02 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 | Oct 3, 2016 | A | 20,559 | $0.00 | A | 35,474,960 | D | |
| Common Stock | holding | — | — | — | 216,462 | I | By Spouse | |
| Common Stock | holding | — | — | — | 1,956,540 | I | By 2015-1 GRAT | |
| Common Stock | holding | — | — | — | 978,270 | I | By 2015-2 GRAT | |
| Common Stock | holding | — | — | — | 652,180 | I | By 2015-3 GRAT | |
| Common Stock | holding | — | — | — | 1,956,540 | I | By 2015-4 GRAT | |
| Common Stock | holding | — | — | — | 1,956,540 | I | By 2015-5 GRAT | |
| Common StockF2 | holding | — | — | — | 200,430 | I | By 2014-4 GRAT | |
| Common StockF3 | holding | — | — | — | 13,361 | I | By 2014-5 GRAT | |
| Common StockF4 | holding | — | — | — | 13,361 | I | By 2014-6 GRAT | |
| Common Stock | holding | — | — | — | 508,904 | I | By Trust | |
| Common Stock | holding | — | — | — | 508,903 | I | By Trust | |
| Common Stock | holding | — | — | — | 508,903 | I | By Trust | |
| Common Stock | holding | — | — | — | 203,791 | I | By Trust | |
| Common Stock | holding | — | — | — | 114,350 | I | By Trust | |
| Common StockF5 | holding | — | — | — | 145,352 | I | By Pittco Associates II, L.P. | |
| Common StockF5 | holding | — | — | — | 3,915,716 | I | By Pittco Investments, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes annuity distributions of 1,853,096 shares from the 2014-4 Grantor Retained Annuity Trust, 123,540 shares from the 2014-5 Grantor Retained Annuity Trust and 123,540 shares from the 2014-6 Grantor Retained Annuity Trust to the reporting person on August 19, 2016 and represents a change in form of beneficial ownership.
- F2Excludes annuity distribution of 1,853,096 shares from the 2014-4 Grantor Retained Annuity Trust to the reporting person on August 19, 2016 and represents a change in form of beneficial ownership.
- F3Excludes annuity distribution of 123,540 shares from the 2014-5 Grantor Retained Annuity Trust to the reporting person on August 19, 2016 and represents a change in form of beneficial ownership..
- F4Excludes annuity distribution of 123,540 shares from the 2014-6 Grantor Retained Annuity Trust to the reporting person on August 19, 2016 and represents a change in form of beneficial ownership.
- F5The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therin, and the inclusion of these shares in his report shall not be deemed an admission of beneficial ownership of the reported shares for the purpose of Section 16 or any other purpose.