Form 4 for GTBP GT Biopharma, Inc.
Accepted 2021-11-12 00:00:00 ET · period of report 2021-02-16 · accession 0001654954-21-012057 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-12 | 2021-02-25 | GTBP | Breen Michael Martin | Dir | C - Cnv Deriv | $3.40 | +50.1K | 318.3K | +19% | +$170.3K |
| D | 2021-11-12 | 2021-02-16 | GTBP | Breen Michael Martin | Dir | A - Grant | $0.00 | +278.1K | 278.1K | New | $0 |
| DM | 2021-11-12 | 2021-02-25 | GTBP | Breen Michael Martin | Dir | C - Cnv Deriv | $0.00 | -130.0K | 0 | -100% | $0 |
| D | 2021-11-12 | 2021-02-16 | GTBP | Breen Michael Martin | Dir | A - Grant | $0.00 | +50.0K | 50.0K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-02-25 | C | A | 9,859 | $3.40 | 328,160 | D | — | — | |
| 2 | Common | Common Stock | 2021-02-16 | A | A | 278,058 | $0.00 | 278,058 | D | — | — | (F1) Represents a grant of shares of restricted stock ("RSAs"). 1/3rd of the RSAs vest on January 13, 2021, 2022 and 2023. |
| 3 | Common | Common Stock | 2021-02-25 | C | A | 40,243 | $3.40 | 318,301 | D | — | — | |
| 4 | Derivative | 10% Senior Convertible Debenture | 2021-02-25 | C | D | 30,000 | $0.00 | 0 | D | $3.40 · 2020-06-23 to 2021-06-23 | 9,859 Common Stock | |
| 5 | Derivative | 10% Senior Convertible Debenture | 2021-02-25 | C | D | 100,000 | $0.00 | 0 | D | $3.40 · 2018-09-07 to — | 40,243 Common Stock | (F3) While the maturity date of the Debenture was September 7, 2019, the Registrant did not repay the Debenture on the maturity date and the Debenture remained outstanding until converted. |
| 6 | Derivative | Option to purchase Common Stock | 2021-02-16 | A | A | 50,000 | $0.00 | 50,000 | D | $6.33 · — to 2031-02-15 | 50,000 Common Stock | (F2) 1/3rd of the shares vest on February 16, 2021, 2022 and 2023. |