Form 4 - Statement of changes in beneficial ownership of securities
October 24 2023 - 7:32PM
Edgar (US Regulatory)
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
16000 DALLAS PARKWAY |
SUITE 800 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MEI Pharma, Inc.
[ MEIP ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 10/20/2023
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
10/20/2023 |
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X |
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143,200 |
A |
$7
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1,057,388
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I |
See footnotes
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Common Stock |
10/20/2023 |
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X |
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35,800 |
A |
$7
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1,093,188
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I |
See footnotes
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Put Option (obligation to buy) |
$7
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10/20/2023 |
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X |
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1,432 |
09/22/2023 |
10/20/2023 |
Common Stock |
143,200 |
$0
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7,068
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I |
See footnotes
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Put Option (obligation to buy) |
$7
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10/20/2023 |
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X |
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358 |
09/22/2023 |
10/20/2023 |
Common Stock |
35,800 |
$0
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6,710
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I |
See footnotes
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Put Option (obligation to buy) |
$7
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10/20/2023 |
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E |
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6,710 |
09/22/2023 |
10/20/2023 |
Common Stock |
671,000 |
$0
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0 |
I |
See footnotes
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1. Name and Address of Reporting Person*
16000 DALLAS PARKWAY |
SUITE 800 |
(Street)
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1. Name and Address of Reporting Person*
155 UNIVERSITY AVENUE |
SUITE 207 |
(Street)
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1. Name and Address of Reporting Person*
155 UNIVERSITY AVENUE |
SUITE 207 |
(Street)
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1. Name and Address of Reporting Person*
111 PETER STREET |
SUITE 904 |
(Street)
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1. Name and Address of Reporting Person*
16000 DALLAS PARKWAY |
SUITE 800 |
(Street)
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1. Name and Address of Reporting Person*
16000 DALLAS PARKWAY |
SUITE 800 |
(Street)
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Explanation of Responses: |
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/s/ Bruce R. Winson, manager of Anson Management GP LLC, general partner of Anson Funds Management LP |
10/24/2023 |
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/s/ Bruce R. Winson, manager of Anson Management GP LLC |
10/24/2023 |
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/s/ Bruce R. Winson |
10/24/2023 |
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/s/ Amin Nathoo, director of Anson Advisors Inc. |
10/24/2023 |
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/s/ Amin Nathoo |
10/24/2023 |
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/s/ Moez Kassam |
10/24/2023 |
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** 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 Number. |
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