Statement of Changes in Beneficial Ownership (4)
June 29 2021 - 7:43PM
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
*
Leuthner Brian A |
2. Issuer Name and Ticker or Trading Symbol
ONCOSEC MEDICAL Inc
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ONCS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Interim CEO |
(Last)
(First)
(Middle)
24 NORTH MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/28/2021 |
(Street)
PENNINGTON, NJ 08534-2218
(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 | 6/28/2021 | | A | | 192000 (1) | A | $0 | 192000 | D | |
Common Stock | 6/28/2021 | | S | | 13613 (2) | D | $3.16 | 178387 | D | |
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 |
Stock Option (Right to Buy) | $3.16 | 6/28/2021 | | A | | 33000 | | 6/28/2021 (3) | 6/28/2031 | Common Stock | 33000 | $0 | 33000 | D | |
Explanation of Responses: |
(1) | Reflects restricted stock units (RSUs) that were 25% vested upon grant with the remaining 75% vesting in equal quarterly installments over the next two years. |
(2) | In connection with the vesting of 48,000 RSUs on June 28, 2021, a total of 13,613 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies. |
(3) | The option is 25% vested upon grant with the remaining 75% vesting in equally in quarterly installments over the next two years. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Leuthner Brian A 24 NORTH MAIN STREET PENNINGTON, NJ 08534-2218 |
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| Interim CEO |
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Signatures
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/s/ Brian A. Leuthner | | 6/29/2021 |
**Signature of Reporting Person | Date |
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