Annual Statement of Changes in Beneficial Ownership (5)
February 13 2020 - 5:00PM
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
*
CZIRR JAMES C | 2. Issuer Name and Ticker or Trading SymbolGALECTIN THERAPEUTICS INC [GALT] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O GALECTIN THERAPEUTICS, INC., 4960 PEACHTREE IND. BLVD., SUITE 240 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2019 |
(Street)
NORCROSS,, GA 30071
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ 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 | 9/30/2019 | | J (1)(2) | 1000 | A | $6.00 (1) | 892616 (3) | D | |
Common Stock | 10/23/2019 | | J (4) | 125000 | D | (3) | 767616 | D | |
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) | Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividends were payable on 9/30/2019. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. |
(2) | Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions. |
(3) | Amount beneficially owned is different from prior reports by 14 shares as a result of the erroneous reporting in Form 5 for 2018 fiscal year of the receipt of 1,000 shares as a stock dividend on Series A Convertible Stock on September 30, 2018. Mr. Czirr, actually received 986 as a stock dividend. |
(4) | Shares transferred to ex-spouse pursuant to a divorce decree. Transaction does not constitute a sale pursuant to existing court rulings and SEC interpretative guidance. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CZIRR JAMES C C/O GALECTIN THERAPEUTICS, INC. 4960 PEACHTREE IND. BLVD., SUITE 240 NORCROSS,, GA 30071 | X |
|
|
|
Signatures
|
/s/ James C. Czirr | | 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