Annual Statement of Changes in Beneficial Ownership (5)
February 12 2021 - 6:00PM
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
[X]
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
*
ELMS STEVE | 2. Issuer Name and Ticker or Trading SymbolMarker Therapeutics, Inc. [MRKR] |
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 MARKER THERAPEUTICS, INC., 3200 SOUTHWEST FREEWAY, SUITE 2240 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(Street)
HOUSTON, TX 77027
(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 | 5/19/2020 | | A4 | 17022 (1) | A | $0.00 | 17022 | D | |
Common Stock | | | | | | | 2000000 | I | See footnote (2) |
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) | Represents the portion of the annual board retainer for each non-employee director payable in immediately vested common stock under the
Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $2.35 per share, on the day immediately
preceding the date of the Company's 2019 annual meeting. |
(2) | The reportable securities are directly owned by Aisling Capital IV, LP ("Aisling"). The Reporting Person is a managing member of the general partner of the general partner of Aisling and may be deemed to share voting and dispositive power over the shares owned by Aisling. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein, and the inclusion of these securities herein shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ELMS STEVE C/O MARKER THERAPEUTICS, INC. 3200 SOUTHWEST FREEWAY, SUITE 2240 HOUSTON, TX 77027 | X |
|
|
|
Signatures
|
/s/ Michael Loiacono, Attorney-in-Fact | | 2/12/2021 |
**Signature of Reporting Person | Date |
Marker Therapeutics (NASDAQ:MRKR)
Historical Stock Chart
From Jul 2024 to Jul 2024
Marker Therapeutics (NASDAQ:MRKR)
Historical Stock Chart
From Jul 2023 to Jul 2024