SEC Form 4 · accession 0001493152-17-006346
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
Jun 7, 2017
Accepted (ET)
Jun 8, 2017 · 6:30 pm EDT
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 Stock | Jun 8, 2017 | P | 20,000 | $0.39 | A | 11,117,141 | D | |
| Common Stock | Jun 7, 2017 | P | 2,500 | $0.38 | A | 11,097,141 | D | |
| Common StockF1 | holding | — | — | — | 862,068 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 23,123,558 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 5,255,354 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 1,928,571 | D |
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.
- F4Represents shares issuable to the reporting person upon the conversion of a promissory note held by the reporting person (at an assumed conversion price of $0.28).