Initial Statement of Beneficial Ownership (3)
28 May 2021 - 8:07AM
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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OMB APPROVAL
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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
*
Leavitt Chase C. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/25/2021
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3. Issuer Name and Ticker or Trading Symbol
Oncternal Therapeutics, Inc. [ONCT]
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(Last)
(First)
(Middle)
12230 EL CAMINO REAL, SUITE 300 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
General Counsel/Secretary / |
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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) |
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 |
| Stock Options | (1) | 4/12/2031 | Common Stock | 235000 | $6.76 | D | |
| Stock Options | (1) | 4/29/2021 | Common Stock | 65000 | $6.46 | D | |
| Explanation of Responses: |
| (1) | One quarter of the shares subject to the stock options shall vest on April 12, 2022, and the remaining shares subject to the option shall vest in 36 equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment or service with the Issuer on each such date. |
Remarks:
Exhibit 24 - Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Leavitt Chase C.
12230 EL CAMINO REAL, SUITE 300
SAN DIEGO, CA 92130 |
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| General Counsel/Secretary |
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Signatures
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| /s/Chase C. Leavitt | | 5/27/2021 |
| **Signature of Reporting Person | Date |
Oncternal Therapeutics (NASDAQ:ONCT)
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