SEC Form 4 · accession 0001615774-18-001746
Tonix Pharmaceuticals Holding Corp. · TNXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles E Mather IV
Director
Period of report
Feb 25, 2016
Accepted (ET)
Mar 9, 2018 · 3:30 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,F2 | May 27, 2017 | M | 750 | $0.00 | A | 3,283 | D | |
| Common Stock, $0.001 par valueF1 | Feb 9, 2017 | M | 750 | $0.00 | A | 2,533 | D | |
| Common Stock, $0.001 par valueF1 | Feb 25, 2016 | M | 600 | $0.00 | A | 1,783 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | May 27, 2017 | M | 750 | D | — | — | Common Stock | 750 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Feb 9, 2017 | M | 750 | D | — | — | Common Stock | 750 | 0 | D |
| Restricted Stock UnitsF1,F5 | — | Feb 25, 2016 | M | 600 | D | — | — | Common Stock | 600 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2This transaction was reported on a previous Form 4, filed on February 28, 2018, which failed to correctly state the number of shares beneficially owned by the reporting person on the transaction date.
- F3On May 27, 2016, the reporting person was granted 750 restricted stock units, vesting in on the first anniversary of the grant date.
- F4On February 9, 2016, the reporting person was granted 750 restricted stock units, vesting in on the first anniversary of the grant date.
- F5On February 25, 2015, the reporting person was granted 600 restricted stock units, vesting in on the first anniversary of the grant date.