SEC Form 4 · accession 0001615774-17-007619
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 26, 2017
Accepted (ET)
Dec 27, 2017 · 2:04 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 | Dec 26, 2017 | P | 5,300 | $3.61 | A | 22,700 | I | By 401(k) plan |
| Common Stock, $0.001 par value | holding | — | — | — | 45,900 | I | By IRA account | |
| Common Stock, $0.001 par value | holding | — | — | — | 11,166 | D | ||
| Common Stock, $0.001 par value | holding | — | — | — | 3,100 | I | By spouse | |
| Common Stock, $0.001 par valueF2 | holding | — | — | — | 2,917 | 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 volume weighted average purchase price of common stock purchased by the reporting person in open market transactions on the transaction date. The range of purchase prices on the transaction date was $3.5834 to $3.619 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.