Statement of Changes in Beneficial Ownership (4)
August 01 2018 - 7:24PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
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
*
ONSI DOUGLAS E
|
2. Issuer Name
and
Ticker or Trading Symbol
LEAP THERAPEUTICS, INC.
[
LPTX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CFO, GC, Treasurer & Secretary
|
(Last)
(First)
(Middle)
C/O LEAP THERAPEUTICS, INC., 47 THORNDIKE STREET SUITE B1-1
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/30/2018
|
(Street)
CAMBRIDGE, MA 02141
(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)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities 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
|
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
|
Warrant (Right to Buy)
|
$6.085
|
7/30/2018
|
|
J
(1)
(2)
|
|
21369
|
|
11/14/2017
|
11/14/2024
|
Common Stock
|
21369
|
$0
|
21369
|
I
(1)
(2)
|
See Footnote
(1)
(2)
|
Explanation of Responses:
|
(1)
|
Pro rata distribution from HealthCare Ventures IX, L.P. ("HCV IX") to its limited partner, Nine Capital Partners, LLC. Christopher K. Mirabelli, Douglas E. Onsi and Augustine Lawlor are the Managing Members of Nine Capital Partners, LLC, and as such, beneficially own and share voting and dispositive power with respect to all of the securities owned by Nine Capital Partners, LLC. Mr. Onsi disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest in these securities. The reporting person is also (i) a Managing Director of HealthCare Partners IX, LLC, which is the General Partner of HealthCare Partners IX, L.P., which is the General Partner of HCV IX and (ii) a Managing Director of HCV Strategic LLC, which is the General Partner of HealthCare Ventures Strategic Fund, L.P. ("HCV SF").
|
(2)
|
HCV IX continues to hold 3,573,376 shares of common stock and HCV SF continues to hold 343,889 shares of common stock, representing 24.3% and 2.3% respectively, and 26.6% in the aggregate, of the outstanding shares of common stock.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
ONSI DOUGLAS E
C/O LEAP THERAPEUTICS, INC.
47 THORNDIKE STREET SUITE B1-1
CAMBRIDGE, MA 02141
|
|
X
|
CFO, GC, Treasurer & Secretary
|
|
Signatures
|
/s/ Douglas E. Onsi
|
|
8/1/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Leap Therapeutics (NASDAQ:LPTX)
Historical Stock Chart
From Jun 2024 to Jul 2024
Leap Therapeutics (NASDAQ:LPTX)
Historical Stock Chart
From Jul 2023 to Jul 2024