Statement of Changes in Beneficial Ownership (4)
14 June 2022 - 6:04AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Guerin Mark Patrick |
2. Issuer Name and Ticker or Trading Symbol
Onconova Therapeutics, Inc.
[
ONTX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) COO and CFO |
(Last)
(First)
(Middle)
C/O ONCONOVA THERAPEUTICS, INC., 12 PENNS TRAIL |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/10/2022 |
(Street)
NEWTOWN, PA 18940
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to purchase) | $1.33 | 6/10/2022 | | A | | 50250 | | (1) | 6/10/2032 | Common stock | 50250 | $0 | 50250 | D | |
Restricted Stock Units | (3) | 6/10/2022 | | A | | 16500 | | (2) | (2) | Common stock | 16500 | $0 | 16500 | D | |
Explanation of Responses: |
(1) | These options vest over three years, one-third on the first anniversary of the date of grant and thereafter in 24 equal monthly installments over the following two years. |
(2) | These restricted stock units vest over 3 years from the date of grant: 33% on the first anniversary; 33% on the second anniversary; and 34 % on the third anniversary. |
(3) | Each restricted stock unit is convertible into one share of common stock. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Guerin Mark Patrick C/O ONCONOVA THERAPEUTICS, INC. 12 PENNS TRAIL NEWTOWN, PA 18940 |
|
| COO and CFO |
|
Signatures
|
/s/ Mark Guerin | | 6/13/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Onconova Therapeutics (NASDAQ:ONTX)
Historical Stock Chart
From Nov 2024 to Dec 2024
Onconova Therapeutics (NASDAQ:ONTX)
Historical Stock Chart
From Dec 2023 to Dec 2024