SEC Form 4 · accession 0001615774-16-007912
Tonix Pharmaceuticals Holding Corp. · TNXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth Lederman
Officer — Chief Executive Officer · Director
Period of report
Oct 31, 2016
Accepted (ET)
Oct 31, 2016 · 4:37 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 | 10,000 | — | A | 90,815 | D | |
| Common Stock, $0.001 par value | holding | — | — | — | 20,000 | I | By 401(k) plan | |
| Common Stock, $0.001 par value | holding | — | — | — | 31,000 | I | By spouse | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 29,167 | I | By Leder Laboratories, Inc. | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 29,167 | I | By Starling Pharmaceuticals, Inc | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 184,628 | I | By Lederman & Co., LLC | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 32,457 | I | By L&L Technologies, LLC | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 58,972 | I | By Targent Pharmaceuticals, LLC |
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 | 10,000 | A | Oct 31, 2016 | Oct 31, 2021 | Common Stock | 5,000 | 10,000 | D |
Explanation of responses
- F1Included in the purchase of 10,000 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.
- F2Reporting person may be deemed to be a control person of this entity.