SEC Form 4 · accession 0001615774-17-003262
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
Jun 19, 2017
Accepted (ET)
Jun 20, 2017 · 4:30 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 | Jun 20, 2017 | P | 20,000 | $4.22 | A | 20,000 | I | By IRA account |
| Common Stock, $0.001 par value | holding | — | — | — | 13,300 | I | By 401(k) plan | |
| Common Stock, $0.001 par value | holding | — | — | — | 7,912 | D | ||
| Common Stock, $0.001 par value | holding | — | — | — | 3,100 | I | By spouse | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 3 | I | By Leder Laboratories, Inc. | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 2,917 | I | By Starling Pharmaceuticals, Inc. | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 18,463 | I | By Lederman & Co., LLC | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 3,246 | I | By L&L Technologies, LLC | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 5,898 | 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 $4.220019425. The range of purchase prices on the transaction date was $4.13 to $4.25 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.