Statement of Changes in Beneficial Ownership (4)
08 January 2022 - 9:24AM
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
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3235-0287
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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
*
PETKANAS DEAN |
2. Issuer Name and Ticker or Trading Symbol
NEUROPATHIX, INC.
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NPTX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Executive Officer |
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(Last)
(First)
(Middle)
3805 OLD EASTON ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/5/2022 |
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(Street)
DOYLESTOWN, PA 18902
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 1/5/2022 | | S(1) | | 89000 | D | $0.047 (2)(3) | 24770029 | I | See Note (4) |
| Common Stock | 1/6/2022 | | S(1) | | 120000 | D | $0.051 (2)(5) | 24650029 | I | See Note (4) |
| Common Stock | 1/7/2022 | | S(1) | | 41000 | D | $0.046 | 24609029 | I | See Note (4) |
| Common Stock | 1/7/2022 | | G(6) | | 300000 | D | $0.00 | 24309029 | I | See Note (4) |
| Common Stock | 1/7/2022 | | G(6) | | 250000 | D | $0.00 | 24059029 | I | See Note (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
| Explanation of Responses: |
| (1) | The sales reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 plan adopted by the reporting person. |
| (2) | These shares were sold in multiple transactions at prices falling within those ranges set forth in footnotes (3) and (5) of this Form 4. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the relevant footnotes. |
| (3) | These shares were sold in multiple transactions at prices ranging from $0.045 to $0.050, inclusive. |
| (4) | These shares were sold in multiple transactions at prices ranging from $0.045 to $0.050, inclusive. |
| (5) | Aggregate amount of shares beneficially owned by the reporting person includes shares held by him directly as well as indirectly through Powerlife Phytomedical, LLC and Golden Gate Capital Partners, LLC. The reporting person disclaims beneficial ownership of the securities held by Powerlife Phytomedical, LLC and Golden Gate Capital Partners, LLC, except to the extent of his pecuniary interest therein. |
| (6) | Represents a gift of shares by Golden Gate Capital Partners, LLC. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
PETKANAS DEAN
3805 OLD EASTON ROAD
DOYLESTOWN, PA 18902 | X | X | Chief Executive Officer |
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Signatures
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| /s/ Dean Petkanas | | 1/7/2022 |
| **Signature of Reporting Person | Date |
Neuropathix (CE) (USOTC:NPTX)
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