SEC Form 4/A · accession 0001144204-15-061079
Tonix Pharmaceuticals Holding Corp. · TNXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Gregory M Sullivan
Officer — Chief Medical Officer
Period of report
Sep 28, 2015
Accepted (ET)
Oct 27, 2015 · 6:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001430306
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF1 | Sep 28, 2015 | P | 4,694 | $5.9491 | A | 15,457 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.9491. The range of purchase prices on the transaction date was $5.89 to $6.00 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
Remarks
The Form 4 filed on September 28, 2015 inadvertently excluded 3,532 shares of common stock acquired on June 30, 2015 pursuant to the Issuer's employee stock purchase plan, which share acquisition was not required to be filed on a Form 4. This Amended Form 4A is being filed to correct column 5 to reflect the correct number of shares beneficially owned as of the date of the transaction required to be reported.