SEC Form 4 · accession 0001250853-18-000153
LIXTE BIOTECHNOLOGY HOLDINGS, INC. · NMAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gil Schwartzberg
10% Owner
Period of report
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 9:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001335105
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 7, 2018 | P | 1,040,000 | $0.50 | A | 1,895,068 | D | |
| Common StockF2 | Dec 7, 2018 | J | 150,000 | $0.00 | A | 2,045,068 | D | |
| Common Stock | Dec 7, 2018 | G | 600,000 | $0.00 | D | 1,066,356 | I | By Gil & Debbie Schwartzberg Family Trust, Gil Schwartzberg Separate Property |
| Common StockF3 | holding | — | — | — | 63,811 | I | By Continuum Partners, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to Purchase Common Stock | $1.00 | Dec 7, 2018 | P | 1,040,000 | A | Dec 7, 2018 | Nov 30, 2022 | Common Stock | 1,040,000 | 1,540,000 | D |
| Warrants to Purchase Common Stock | $1.00 | Dec 7, 2018 | G | 1,040,000 | D | Dec 7, 2018 | Nov 30, 2022 | Common Stock | 1,040,000 | 0 | D |
Explanation of responses
- F1The reporting person acquired 1,040,000 Units, each Unit consisting of one share of Common Stock and a four year warrant at an exercise price of $1.00 per share. The purchase price for a Unit was $0.50.
- F2Represents shares acquired by the reporting person pursuant to enforcement of a judgment.
- F3Represents the reporting person's proportionate interest in Continuum Partners, L.P. which owns 638,115 shares of the issuer's common stock.