SEC Form 5 · accession 0001615774-17-000513
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
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 6:06 am 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 | Jun 30, 2016 | J | 3,296 | $1.74 | A | 79,111 | D | |
| Common Stock | holding | — | — | — | 31,000 | I | By spouse | |
| Common Stock | holding | — | — | — | 133,000 | I | By 401(k) plan | |
| Common StockF2 | holding | — | — | — | 29,167 | I | By Leder Laboratories, Inc. | |
| Common StockF2 | holding | — | — | — | 29,167 | I | By Starling Pharmaceuticals, Inc. | |
| Common StockF2 | holding | — | — | — | 184,628 | I | By Lederman & Co., LLC | |
| Common StockF2 | holding | — | — | — | 32,457 | I | By L&L Technologies, LLC | |
| Common StockF2 | holding | — | — | — | 58,972 | I | By Targent Pharmaceuticals, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired through the Tonix Pharmaceuticals Holding Corp. Employee Stock Purchase Plan.
- F2Reporting person may be deemed to be a control person of this entity.