SEC Form 4 · accession 0001179110-18-000404
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
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 | 4,345 | $12.71 | D | 55,946 | D | |
| Common Stock | holding | — | — | — | 400 | I | By IRA | |
| Common Stock | holding | — | — | — | 664 | I | By Spouse | |
| Common Stock | holding | — | — | — | 2,547 | I | By Spouse IRA | |
| Common Stock | holding | — | — | — | 217 | I | By Trust | |
| Common Stock | holding | — | — | — | 217 | I | By Trust | |
| Common StockF2 | holding | — | — | — | 500 | 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)F3 | $12.71 | Jan 1, 2018 | A | 45,000 | A | — | Dec 31, 2027 | Common Stock | 45,000 | 45,000 | 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 reporting person disclaims beneficial ownership of these securities except to the extend 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.
- F3The option vests and is exercisable in 3 equal annual installments beginning January 1, 2021.