SEC Form 4 · accession 0001493152-16-015386
Adhera Therapeutics, Inc. · ATRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vuong Trieu
Officer — Chairman of the Board · Director · 10% Owner
Period of report
Nov 15, 2016
Accepted (ET)
Nov 22, 2016 · 4:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000737207
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 15, 2016 | A | 11,094,641 | — | A | 11,094,641 | D | |
| Common StockF2,F3 | Nov 15, 2016 | A | 23,123,558 | — | A | 23,123,558 | I | See Footnote |
| Common StockF4,F5 | Nov 15, 2016 | A | 5,255,354 | — | A | 5,255,354 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Received in exchange for 1,055,556 shares of the common stock of IthenaPharma Inc. ("Ithena") pursuant to that certain Agreement and Plan of Merger dated as of November 15, 2016 by and among Marina Biotech, Inc. (the "Issuer"), Ithena Acquisition Corporation (a wholly-owned subsidiary of the Issuer), Ithena, and Vuong Trieu as the representative of Ithena (the "Merger Agreement").
- F2Received in exchange for 2,200,000 shares of the common stock of Ithena pursuant to the Merger Agreement.
- F3Represents shares held by Autotelic LLC, of which entity the reporting person serves as Chief Executive Officer.
- F4Received in exchange for 500,000 shares of the common stock of Ithena pursuant to the Merger Agreement.
- F5Represents shares held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board.