Statement of Changes in Beneficial Ownership (4)
September 16 2022 - 06:01PM
Edgar (US Regulatory)
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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
Estimated average burden
hours per response... 0.5 |
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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 * Michels Douglas A |
2. Issuer Name and Ticker or Trading
Symbol TYME TECHNOLOGIES, INC. [ TYME ] |
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)
|
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 |
|
Common Stock |
9/16/2022 |
|
D |
|
110000 |
D |
(1) |
0 |
D |
|
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 |
|
Director Stock Option - Option to
buy |
$2.71 |
9/16/2022 |
|
D |
|
|
45833 |
(2) |
10/1/2028 |
Common Stock |
45833 |
(2) |
0 |
D |
|
|
Director Stock Option - Option to
buy |
$2.71 |
9/16/2022 |
|
D |
|
|
100000 |
(3) |
10/1/2028 |
Common Stock |
100000 |
(3) |
0 |
D |
|
|
Director Stock Option - Option to
buy |
$1.18 |
9/16/2022 |
|
D |
|
|
50000 |
(4) |
8/22/2029 |
Common Stock |
50000 |
(4) |
0 |
D |
|
|
Director Stock Option - Option to
buy |
$1.22 |
9/16/2022 |
|
D |
|
|
65000 |
(5) |
8/19/2030 |
Common Stock |
65000 |
(5) |
0 |
D |
|
|
Director Stock Option - Option to
buy |
$1.10 |
9/16/2022 |
|
D |
|
|
88000 |
(6) |
8/23/2031 |
Common Stock |
88000 |
(6) |
0 |
D |
|
|
Director Stock Option - Option to
buy |
$0.31 |
9/16/2022 |
|
D |
|
|
88000 |
(7) |
8/23/2032 |
Common Stock |
88000 |
(7) |
0 |
D |
|
| Explanation of
Responses: |
| (1) |
Disposed of pursuant to the
merger agreement between the issuer and Syros Pharmaceuticals, Inc.
("Syros") in exchange for 4,820 shares of Syros common stock having
a market value of $7.30 per share at the close of trading on
September 15, 2022, the last trading day immediately preceding the
effective time of the merger, but after giving effect to a 1-for-10
reverse stock split by Syros (the "Reverse Split"), with cash paid
in lieu of fractional shares. |
| (2) |
This option was fully vested
and assumed by Syros in the merger and replaced with an option to
purchase 2,008 shares of Syros common stock for $61.84 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 4,382 shares of Syros common stock for $61.84 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 2,191 shares of Syros common stock for $26.93 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 2,848 shares of Syros common stock for $27.84 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 $25.10 per share,
after giving effect to the Reverse Split. |
| (7) |
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
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Michels Douglas A
C/O TYME TECHNOLOGIES, INC.
1 PLUCKEMIN WAY - SUITE 103
BEDMINSTER, NJ 07921 |
X |
|
|
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Signatures
|
|
By: /s/ Richard Cunningham as attorney-in-fact
for Douglas A Michels |
|
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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