UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gem Pharmaceuticals LLC C/O 1000 SKOKIE BLVD., SUITE 350 WILMETTE, IL 60091 |
X | |||
Hendricks Diane C/O GEM PHARMACEUTICALS 200 RANDOLPH AVE. HUNTSVILLE, AL 35801 |
X | |||
Leo Karl C/O GEM PHARMACEUTICALS 200 RANDOLPH AVE. HUNTSVILLE, AL 35801 |
X | |||
KLAUSNER ARTHUR J ONE PALMER SQUARE PRINCETON, NJ 08542 |
X | |||
Pharma Investments LLC C/O GEM PHARMACEUTICALS 200 RANDOLPH AVE HUNTSVILLE, AL 35801 |
X |
/s/ Kim R. Tsuchimoto, Attorney-in-fact | 01/08/2018 | |
**Signature of Reporting Person | Date | |
/s/ Kim R. Tsuchimoto, Attorney in fact | 01/08/2018 | |
**Signature of Reporting Person | Date | |
/s/ Kim R. Tsuchimoto, attorney-in-fact | 01/08/2018 | |
**Signature of Reporting Person | Date | |
/s/ Kim R. Tsuchimoto, Attorney-In-Fact | 01/08/2018 | |
**Signature of Reporting Person | Date | |
/s/Kim R. Tsuchimoto, Attorney-in-fact | 01/08/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | This Form 3 is being filed on behalf of Gem Pharmaceuticals, LLC, an Alabama limited liability company ("Gem"), and its managers, Diane Hendricks, Karl Leo, and Arthur Klausner, and Pharma Investments ("Pharma") and its controlling shareholders, Karl Leo and Diane Hendricks (collectively, the "Reporting Persons"). The managers of Gem collectively have voting control over the securities described herein. Pharma owns a controlling share of Gem and Karl Leo and Diane Hendricks own a controlling share of Pharma, so Pharma and its controlling shareholders have indirect control over the securities described herein. The managers of Gem and the controlling shareholders of Pharma each disclaim ownership of the shares of common stock owned by Gem, except to the extent of their pecuniary interest therein. |
(2) | Gem shares voting and investment power over 3,055,394.12 of the shares of common stock held by TacticGem LLC. |