SEC Form 4 · accession 0001179110-18-000403
GTX INC /DE/ · GTXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc Steven Hanover
Officer — Chief Executive Officer · Director
Period of report
Jan 1, 2018
Accepted (ET)
Jan 3, 2018 · 6:24 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 | Jan 1, 2018 | F | 6,397 | $12.71 | D | 131,671 | D | |
| Common Stock | holding | — | — | — | 35,287 | I | By Limited Liability Company | |
| Common Stock | holding | — | — | — | 6,200 | I | By Trust | |
| Common Stock | holding | — | — | — | 6,200 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $12.71 | Jan 1, 2018 | A | 65,000 | A | — | Dec 31, 2027 | Common Stock | 65,000 | 65,000 | D |
Explanation of responses
- F1Shares withheld by the Issuer pursuant to the Rule 16b-3(e) exemption to satisfy tax withholding obligations arising out of the vesting of a portion of previously granted restricted stock units.
- F2The option vests and is exercisable in 3 equal annual installments beginning January 1, 2021.