Initial Statement of Beneficial Ownership (3)
03 October 2020 - 6:53AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
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
*
Yorke Justin W |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/2/2020
|
3. Issuer Name and Ticker or Trading Symbol
Processa Pharmaceuticals, Inc. [PCSA]
|
|
(Last)
(First)
(Middle)
C/O PROCESSA PHARMACEUTICALS, INC., 7380 COCA COLA DRIVE, SUITE 106 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
|
|
(Street)
HANOVER, MD 21076
(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
|
Table I - Non-Derivative Securities Beneficially Owned
|
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 | 300706 | D | |
| Common Stock | 264472 | I | By San Gabriel Fund, LLC, JMW Fund, LLC and the Richland Fund, LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 (Right to Buy) | (1) | 6/20/2024 | Common Stock | 1085 | $16.80 | D | |
| Stock Options (Right to Buy) | (2) | 6/20/2024 | Common Stock | 983 | $16.80 | D | |
| Warrants (Right to Buy) | (3) | 5/25/2021 | Common Stock | 73657 | $17.164 | I | By San Gabriel Fund, LLC, JMW Fund, LLC and the Richland Fund, LLC |
| Explanation of Responses: |
| (1) | Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years. |
| (2) | Stock options vest upon meeting certain performance criteria. |
| (3) | Need warrant info here. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Yorke Justin W
C/O PROCESSA PHARMACEUTICALS, INC.
7380 COCA COLA DRIVE, SUITE 106
HANOVER, MD 21076 | X |
|
|
|
Signatures
|
| /s/ Justin W. Yorke by Michael B. Kirwan, as Attorney-in-Fact | | 10/2/2020 |
| **Signature of Reporting Person | Date |
Processa Pharmaceuticals (NASDAQ:PCSA)
Historical Stock Chart
From Jun 2024 to Jul 2024
Processa Pharmaceuticals (NASDAQ:PCSA)
Historical Stock Chart
From Jul 2023 to Jul 2024
