Filing Details
- Accession Number:
- 0001062993-21-007818
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-20 13:38:46
- Reporting Period:
- 2021-07-06
- Accepted Time:
- 2021-08-20 13:38:46
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 748592 | Brooklyn Immunotherapeutics Inc. | BTX | Pharmaceutical Preparations (2834) | 311103425 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1234956 | Iii P George Denny | C/O Locke Lord Llp 111 Huntington Avenue Boston MA 02199 | No | 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 | Disposition | 2021-07-06 | 75,000 | $16.06 | 4,775,117 | No | 4 | S | Indirect | By Denny Family Partners II, LLC |
| Common Stock | Acquisiton | 2021-07-08 | 1 | $14.35 | 1 | No | 4 | P | Indirect | By Spouse |
| Common Stock | Acquisiton | 2021-07-09 | 1 | $14.11 | 2 | No | 4 | P | Indirect | By Spouse |
| Common Stock | Acquisiton | 2021-07-14 | 1 | $11.99 | 3 | No | 4 | P | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Denny Family Partners II, LLC |
| No | 4 | P | Indirect | By Spouse |
| No | 4 | P | Indirect | By Spouse |
| No | 4 | P | Indirect | By Spouse |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 34,585 | Indirect | By George P. Denny Trust 6/11/81 |
| Common Stock | 4,094 | Direct |
Footnotes
- The sale by Denny Family Partners II, LLC of BTX Common Stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 3 shares, with the purchase of 3 shares of BTX Common Stock by the reporting person's spouse, also reported herein. The reporting person has agreed to pay to BTX, upon settlement of the sale, $8.78, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.
- The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.41, inclusive. The reporting person undertakes to provide to Brooklyn ImmunoTherapeutics, Inc., any security holder of Brooklyn ImmunoTherapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 2.
- The reporting person disclaims beneficial ownership of the shares held by Denny Family Partners II, LLC except to the extent of his pecuniary interest therein.
Billionaire Hedge Funds
