SEC Form 4 · accession 0001493152-17-001242
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
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 5:30 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 | Feb 6, 2017 | P | 862,068 | $0.29 | A | 862,068 | I | See Footnote |
| Common Stock | holding | — | — | — | 11,094,641 | D | ||
| Common StockF2 | holding | — | — | — | 23,123,558 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 5,255,354 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares held by Lipomedics Inc., of which entity the reporting person serves as Chairman of the Board and Chief Operating Officer.
- F2Represents shares held by Autotelic LLC, of which entity the reporting person serves as Chief Executive Officer.
- F3Represents shares held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board.