SEC Form 4 · accession 0001493152-18-014069
Adhera Therapeutics, Inc. · ATRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vuong Trieu
Director · 10% Owner
Period of report
Oct 1, 2018
Accepted (ET)
Oct 4, 2018 · 6:48 am 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 StockF1 | Oct 1, 2018 | D | 500,000 | $0.50 | D | 612,716 | D | |
| Common StockF2 | holding | — | — | — | 2,312,355 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 525,535 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 86,207 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Dr. Trieu also holds warrants to purchase 1,135,425 shares of common stock and 151.39 shares of Series E Convertible Preferred Stock (which shares are initially convertible into 1,513,900 shares of common stock).
- 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. Autotelic Inc. also holds warrants to purchase 2,706,965 shares of common stock and 181.59 shares of Series E Convertible Preferred Stock (which shares are initially convertible into 1,815,900 shares of common stock).
- F4Represents shares held by LipoMedics, Inc., of which entity the reporting person serves as Chairman of the Board and Chief Operating Officer.