SEC Form 4 · accession 0001493152-17-007487
Adhera Therapeutics, Inc. · ATRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Larn Hwang
Officer — Chief Scientific Officer
Period of report
Jun 30, 2017
Accepted (ET)
Jul 5, 2017 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000737207
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 5% Convertible Promissory NoteF1,F2 | $0.35 | Jun 30, 2017 | A | — | A | Jun 1, 2018 | — | common stock | 142,857 | 142,857 | D |
Explanation of responses
- F1The holders of a majority of the aggregate principal amount of the convertible promissory notes that were issued by the registrant in the offering of which the note purchased by the reporting person is a part have the right to elect to convert the entire unpaid principal amount (and accrued interest) of such notes into the common stock of the registrant on the maturity date of such notes.
- F2N/A