Initial Statement of Beneficial Ownership (3)
24 July 2020 - 6:31AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Shanghai Pharmaceuticals (HK) Investment Ltd |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/21/2020
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3. Issuer Name and Ticker or Trading Symbol
Oncternal Therapeutics, Inc. [ONCT]
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(Last)
(First)
(Middle)
C/O ONCTERNAL THERAPEUTICS, INC., 12230 EL CAMINO REAL, SUITE 300 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Street)
SAN DIEGO, CA 92130
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 1049317 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Warrants | (1) | 1/21/2026 | Common Stock | 524658 | $2.32 | D | |
| Explanation of Responses: |
| (1) | The warrants are currently exercisable into shares of the Issuer's Common Stock except to the extent that the exercise would result in the beneficial ownership of more than 19.99% of the Issuer's outstanding Common Stock. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Shanghai Pharmaceuticals (HK) Investment Ltd
C/O ONCTERNAL THERAPEUTICS, INC.
12230 EL CAMINO REAL, SUITE 300
SAN DIEGO, CA 92130 |
| X |
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Signatures
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| SHANGHAI PHARMACEUTICALS (HK) INVESTMENT LIMITED, By: Shanghai Pharmaceuticals Holding Co., Ltd., its sole member, By: /s/ Shen Bo, Name: Shen Bo, Title: Authorized Signatory | | 7/23/2020 |
| **Signature of Reporting Person | Date |
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