Initial Statement of Beneficial Ownership (3)
July 20 2020 - 4:31PM
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
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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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Albanna Rowena |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/10/2020
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3. Issuer Name and Ticker or Trading Symbol
ADiTx Therapeutics, Inc. [ADTX]
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(Last)
(First)
(Middle)
C/O ADITX THERAPEUTICS, INC., 11161 ANDERSON STREET, SUITE 105-10014 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) CHIEF OPERATING OFFICER / |
(Street)
LOMA LINDA, CA 92354
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 35555 | D | |
Common Stock | 438055 | I | See Footnote (1) |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | (2) | 10/5/2027 | Common Stock | 200000 | $4 | D | |
Stock Option (Right to Buy) | (3) | 10/5/2027 | Common Stock | 600000 | $4 | I | See Footnote (1) |
Series A Warrant | 7/2/2020 | 6/29/2025 | Common Stock | 35555 | $9 | D | |
Series A Warrant | 7/2/2020 | 6/29/2025 | Common Stock | 38055 | $9 | I | See Footnote (1) |
Series B Warrant | 7/2/2020 | 6/29/2025 | Common Stock | 35555 | $11.25 | D | |
Series B Warrant | 7/2/2020 | 6/29/2025 | Common Stock | 38055 | $11.25 | I | See Footnote (1) |
Explanation of Responses: |
(1) | Held beneficially by the husband of the Reporting Person. |
(2) | 50,000 of the options became exercisable on February 9, 2018 and 150,000 of the options became exercisable on April 17, 2019. |
(3) | 200,000 of the options became exercisable on March 6, 2018 and 400,000 of the options became exercisable on April 17, 2019. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Albanna Rowena C/O ADITX THERAPEUTICS, INC. 11161 ANDERSON STREET, SUITE 105-10014 LOMA LINDA, CA 92354 |
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| CHIEF OPERATING OFFICER |
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Signatures
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/s/ Rowena Albanna | | 7/20/2020 |
**Signature of Reporting Person | Date |
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