SEC Form 4 · accession 0001615774-16-007910
Tonix Pharmaceuticals Holding Corp. · TNXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Rhodes
Director
Period of report
Oct 31, 2016
Accepted (ET)
Oct 31, 2016 · 4:35 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 | Oct 31, 2016 | P$0 | 25,000 | — | A | 137,196 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Purchase WarrantF1 | $0.63 | Oct 31, 2016 | P | 25,000 | A | Oct 31, 2016 | Oct 31, 2021 | Common Stock | 12,500 | 25,000 | D |
Explanation of responses
- F1Included in the purchase of 100,000 Units at a price of $0.55 per Unit. Each Unit consisted of one share of common stock and one warrant exercisable immediately for one-half (0.50) share of common stock at an exercise price of $0.63 per share.