Filing Details
- Accession Number:
- 0001179022-19-000032
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-06-03 17:28:22
- Reporting Period:
- 2019-05-29
- Accepted Time:
- 2019-06-03 17:28:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1133416 | Galectin Therapeutics Inc | GALT | Pharmaceutical Preparations (2834) | 043562325 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1694903 | E Richard Uihlein | 12575 Uline Drive Pleasant Prairie WI 53158 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-05-29 | 500,000 | $5.00 | 3,128,489 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-05-31 | 4,672,896 | $4.28 | 7,801,385 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-05-31 | 7,710 | $4.28 | 27,710 | No | 4 | P | Indirect | By Ed Uihlein Family Foundation |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By Ed Uihlein Family Foundation |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Purchase Warrant (right to buy) | Disposition | 2019-05-21 | 500,000 | $0.00 | 500,000 | $5.00 |
| Common Stock | Common Stock Purchase Warrant (right to buy) | Acquisiton | 2019-05-29 | 15,576,322 | $0.00 | 1,168,253 | $7.00 |
| Common Stock | Common Stock Purchase Warrant (right to buy) | Acquisiton | 2019-05-31 | 25,700 | $0.00 | 1,927 | $7.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 966,204 | 2017-06-22 | 2023-12-22 | No | 4 | M | Direct |
| 15,576,322 | 2019-11-30 | 2026-05-31 | No | 4 | P | Direct |
| 25,700 | 2019-11-23 | 2026-06-03 | No | 4 | P | Indirect |
Footnotes
- The reporting person is president and director of Ed Uihlein Family Foundation, a not-for-profit corporation. The reporting person has no pecuniary interest in the shares, however, he shares voting and dispositive power over the shares and, therefore, remains the beneficial owner of the shares solely for the purposes of Section 13(d) of the Securities Exchange Act of 1934.
- Each warrant is exerciseable for 0.075 shares of Common Stock of the Company.
Billionaire Hedge Funds
