Annual Statement of Changes in Beneficial Ownership (5)
February 13 2020 - 4:37PM
Edgar (US Regulatory)
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ]
Form 3 Holdings Reported
[ ]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden hours per response...
1.0
|
|
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
*
10X Fund, L.P. | 2. Issuer Name and Ticker or Trading SymbolGALECTIN THERAPEUTICS INC [GALT] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
545 DUTCH VALLEY ROAD, N.E., SUITE A | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2019 |
(Street)
ATLANTA,, GA 30324
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form Filed by One Reporting Person
_X_ 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) |
Amount | (A) or (D) | Price |
Common Stock | 11/18/2019 | | J (1) | 9350 | D | (1) | 6366440 | D (2) | |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security under applicable law. |
(2) | 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
10X Fund, L.P. 545 DUTCH VALLEY ROAD, N.E., SUITE A ATLANTA,, GA 30324 |
| X |
|
|
10X Capital Management, LLC 545 DUTCH VALLEY ROAD, N.E., SUITE A ATLANTA,, GA 30324 |
| X |
|
|
CZIRR JAMES C 545 DUTCH VALLEY ROAD, N.E., SUITE A ATLANTA,, GA 30324 | X | X |
|
|
Signatures
|
/s/ James C. Czirr, as Managing Member of the General Partner for 10X Fund, LP | | 2/13/2019 |
**Signature of Reporting Person | Date |
/s/ James C. Czirr, as Managing Member of 10X Capital Management, LLC | | 2/13/2019 |
**Signature of Reporting Person | Date |
/s/ James C. Czirr, Individually | | 2/13/2019 |
**Signature of Reporting Person | Date |
Galectin Therapeutics (NASDAQ:GALT)
Historical Stock Chart
From Mar 2024 to Apr 2024
Galectin Therapeutics (NASDAQ:GALT)
Historical Stock Chart
From Apr 2023 to Apr 2024