SEC Form 4 · accession 0001179110-17-012838
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
Sep 29, 2017
Accepted (ET)
Oct 2, 2017 · 4:14 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,F2 | Sep 29, 2017 | A | 1,130,582 | — | A | 3,981,562 | D | |
| Common Stock | holding | — | — | — | 21,646 | I | By Spouse | |
| Common Stock | holding | — | — | — | 500,000 | I | By 2017-1 GRAT | |
| Common Stock | holding | — | — | — | 500,000 | I | By 2017-2 GRAT | |
| Common Stock | holding | — | — | — | 500,000 | I | By 2017-3 GRAT | |
| Common Stock | holding | — | — | — | 250,000 | I | By 2017-4 GRAT | |
| Common Stock | holding | — | — | — | 250,000 | I | By 2017-5 GRAT | |
| Common Stock | holding | — | — | — | 250,000 | I | By 2017-6 GRAT | |
| Common Stock | holding | — | — | — | 50,889 | I | By Trust | |
| Common Stock | holding | — | — | — | 50,889 | I | By Trust | |
| Common Stock | holding | — | — | — | 50,889 | I | By Trust | |
| Common Stock | holding | — | — | — | 20,378 | I | By Trust | |
| Common Stock | holding | — | — | — | 11,435 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 14,535 | I | By Pittco Associates III, L.P. | |
| Common StockF3 | holding | — | — | — | 391,571 | I | By Pittco Investments, L.P. |
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 | $9.02 | Sep 29, 2017 | A | 678,349 | A | Sep 29, 2017 | Sep 29, 2022 | Common Stock | 678,349 | 678,349 | D |
Explanation of responses
- F1The reported securities are included within 1,130,582 immediately separable Units purchased by the reporting person for $8.845 per Unit. Each Unit consists of one share of Common Stock and one warrant to purchase 0.60 of a share of Common Stock.
- F2Includes annuity distributions 20,043 shares from the 2014-4 Grantor Retained Annuity Trust, 1,336 shares from the 2014-5 Grantor Retained Annuity Trust and 1,336 shares from the 2014-6 Grantor Retained Annuity Trust to the reporting person on August 19, 2017 and represents a change in form of beneficial ownership.
- F3The 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.