Statement of Changes in Beneficial Ownership (4)
May 24 2021 - 5:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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CONRAD HERBERT J |
2. Issuer Name and Ticker or Trading Symbol
Matinas BioPharma Holdings, Inc.
[
MTNB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O MATINAS BIOPHARMA HOLDINGS, INC., 1545 ROUTE 206 SOUTH SUITE 302 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/13/2021 |
(Street)
BEDMINSTER, NJ 07921
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.0001 per share | 1/13/2021 | | G |
V
| 50000 | D | $0 | 494622 | D | |
Common Stock, par value $0.0001 per share | 1/13/2021 | | G |
V
| 50000 | A | $0 | 175000 | I | By Herbert J. Conrad Trust u/a/d 3/4/2005, Herbert J Conrad, Susan Wachtel, Nancy Fallick, Trustees |
Common Stock, par value $0.0001 per share | 5/20/2021 | | G |
V
| 1145905 | D | $0 | 0 | I | By Herbert Conrad 2019 Grantor Retained Annuity Trust (GRAT) |
Common Stock, par value $0.0001 per share | 5/20/2021 | | G |
V
| 1145905 | A | $0 | 1320905 | I | By Herbert J. Conrad Trust u/a/d 3/4/2005, Herbert J Conrad, Susan Wachtel, Nancy Fallick, Trustees |
Common Stock, par value $0.0001 per share | | | | | | | | 2639039 | I | By Herbert Conrad 2020 Grantor Retained Annuity Trust (GRAT) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 | 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 Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Series B Convertible Preferred Stock | $0.5 | 1/13/2021 | | G |
V
| | 100 | 6/21/2018 (1) | (1) | Common Stock | 200000 | $1000 | 0 | D | |
Series B Convertible Preferred Stock | $0.5 | 1/13/2021 | | G |
V
| 100 | | 6/21/2018 (1) | (1) | Common Stock | 200000 | $1000 | 100 | I | By Herbert J. Conrad Trust u/a/d 3/4/2005, Herbert J Conrad, Susan Wachtel, Nancy Fallick, Trustees |
Explanation of Responses: |
(1) | Each share of Series B Convertible Preferred Stock is convertible into 2,000 shares of the Issuer's common stock. The shares of Series B Convertible Preferred Stock are convertible at any time, at the holder's election, or upon certain mandatory conversion events set forth in the Certificate of Designations of Preferences, Rights and Limitations of Series B Preferred Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CONRAD HERBERT J C/O MATINAS BIOPHARMA HOLDINGS, INC. 1545 ROUTE 206 SOUTH SUITE 302 BEDMINSTER, NJ 07921 | X |
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Signatures
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/s/_ Keith A. Kucinski, attorney-in fact for Herbert J. Conrad | | 5/24/2021 |
**Signature of Reporting Person | Date |
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