SEC Form 4 · accession 0001615774-16-008539
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
Nov 21, 2016
Accepted (ET)
Nov 22, 2016 · 4:23 pm EST
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 | Nov 21, 2016 | P | 98,000 | $0.4278 | A | 133,000 | I | By 401(k) plan |
| Common Stock, $0.001 par value | holding | — | — | — | 79,111 | D | ||
| 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
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 $0.427821. The range of purchase prices on the transaction date was $0.4191 to $0.4299 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.
- F2Reporting person may be deemed to be a control person of this entity.