SEC Form 4 · accession 0001179110-18-000779
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 5, 2018
Accepted (ET)
Jan 9, 2018 · 6:11 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 StockF2 | Jan 5, 2018 | S | 1,142 | $12.02 | D | 54,804 | D | |
| Common StockF3 | Jan 5, 2018 | S | 3,823 | $11.13 | D | 50,981 | 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 StockF4 | holding | — | — | — | 500 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold to satisfy tax withholding obligations arising out of the vesting of a portion of previously granted restricted stock units.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.61 to $12.61, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.81 to $11.60, inclusive.
- F4The 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.