Statement of Changes in Beneficial Ownership (4)
September 16 2022 - 6:01PM
Edgar (US Regulatory)
FORM 4
[X]
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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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
*
DeGolyer Donald W |
2. Issuer Name and Ticker or Trading Symbol
TYME TECHNOLOGIES, INC.
[
TYME
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O TYME TECHNOLOGIES, INC., 1 PLUCKEMIN WAY - SUITE 103 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/16/2022 |
(Street)
BEDMINSTER, NJ 07921
(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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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 |
Director Stock Option - Option to buy | $2.90 | 9/16/2022 | | D | | | 100000 | (1) | 5/24/2028 | Common Stock | 100000 | (1) | 0 | D | |
Director Stock Option - Option to buy | $2.33 | 9/16/2022 | | D | | | 50000 | (2) | 8/26/2028 | Common Stock | 50000 | (2) | 0 | D | |
Director Stock Option - Option to buy | $1.18 | 9/16/2022 | | D | | | 50000 | (3) | 8/22/2029 | Common Stock | 50000 | (3) | 0 | D | |
Director Stock Option - Option to buy | $1.22 | 9/16/2022 | | D | | | 65000 | (4) | 8/19/2030 | Common Stock | 65000 | (4) | 0 | D | |
Director Stock Option - Option to buy | $1.10 | 9/16/2022 | | D | | | 88000 | (5) | 8/23/2031 | Common Stock | 88000 | (5) | 0 | D | |
Director Stock Option - Option to buy | $0.31 | 9/16/2022 | | D | | | 88000 | (6) | 8/23/2032 | Common Stock | 88000 | (6) | 0 | D | |
Explanation of Responses: |
(1) | This option was fully vested and assumed by Syros Pharmaceuticals, Inc. ("Syros") in its merger with the issuer and replaced with an option to purchase 4,382 shares of Syros common stock for $66.18 per share, after giving effect to a 1-for-10 reverse stock split by Syros (the "Reverse Split"). |
(2) | This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 2,191 shares of Syros common stock for $53.17 per share, after giving effect to the Reverse Split. |
(3) | This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 2,191 shares of Syros common stock for $26.93 per share, after giving effect to the Reverse Split. |
(4) | This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 2,848 shares of Syros common stock for $27.84 per share, after giving effect to the Reverse Split. |
(5) | This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 3,856 shares of Syros common stock for $25.10 per share, after giving effect to the Reverse Split. |
(6) | This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 3,856 shares of Syros common stock for $7.07 per share, after giving effect to the Reverse Split. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DeGolyer Donald W C/O TYME TECHNOLOGIES, INC. 1 PLUCKEMIN WAY - SUITE 103 BEDMINSTER, NJ 07921 | X |
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Signatures
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By: /s/ Richard Cunningham as attorney-in-fact for Donald W. DeGolyer | | 9/16/2022 |
**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. |
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