Initial Statement of Beneficial Ownership (3)
October 23 2017 - 12:59PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
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NOVIT, L.P.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/18/2017
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3. Issuer Name
and
Ticker or Trading Symbol
CTD HOLDINGS INC [CTDH]
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(Last)
(First)
(Middle)
966 HUNGERFORD DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
ROCKVILLE,, MD 20850
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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6471248
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Warrant to Purchase Common Stock
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10/18/2017
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10/18/2024
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Common Stock
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900000
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$0.2500
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D
(1)
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Warrant to Purchase Common Stock
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2/23/2017
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2/23/2024
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Common Stock
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571428
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$0.3500
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D
(1)
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Series B Convertible Preferred Stock
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(2)
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(2)
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Common Stock
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900000
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$0.2500
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D
(1)
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Explanation of Responses:
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(1)
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Represents securities directly owned by Novit, L.P. ("Novit"). Each of the other Reporting Persons are indirect beneficial owners of such securities as follows: Novit U.S., Inc. is the general partner of Novit, and Katarzyna Kusmierz is the trustee of the NAP Trust, which indirectly owns all of the outstanding partnership interests in Novit.
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(2)
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The Series B Convertible Preferred Stock will automatically convert into Common Stock on the date the Issuer effects an increase of its authorized shares of Common Stock and/or a reverse stock split so that it has a sufficient number of authorized and unissued shares of Common Stock to permit the conversion or exercise, as applicable of all outstanding shares of Series B Convertible Preferred Stock, warrants, options and other convertible securities of the Issuer.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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NOVIT, L.P.
966 HUNGERFORD DRIVE
ROCKVILLE,, MD 20850
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X
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Novit U.S., Inc.
966 HUNGERFORD DRIVE
ROCKVILLE,, MD 20850
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X
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Kusmierz Katarzyna
966 HUNGERFORD DRIVE
ROCKVILLE,, MD 20850
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X
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Signatures
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/s/ Francis Patrick Ostronic, VP
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10/23/2017
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**
Signature of Reporting Person
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Date
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/s/ Katarzyna Kusmierz
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10/23/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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