Statement of Changes in Beneficial Ownership (4)
2019年12月18日 - 6:31AM
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
*
Erdtmann Rainer M |
2. Issuer Name and Ticker or Trading Symbol
POLARITYTE, INC.
[
PTE
]
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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)
995 EAST ARQUES AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/16/2019 |
(Street)
SUNNYVALE, CA 94085
(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 | 12/16/2019 | | S | | 31846 (1) | D | $2.47 (2) | 30000 | I | By Zeigeist Inc. |
Common Stock | | | | | | | | 20000 | 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 |
Explanation of Responses: |
(1) | Mr. Erdtmann owns and controls Zeigeist LLC. Zeigeist is a limited partner in Point Sur Investors Fund I, LP, a biotech investment fund,
which sold its entire position in the common stock of the Issuer in accordance with Point Sur's investment policies. The number of shares sold is
the portion of shares sold by Point Sur that were owned indirectly through Zeigeist. Zeitgeist still owns directly 30,000 shares and Mr.
Erdtmann still owns 20,000 shares directly. |
(2) | The reported price is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.40 to $2.57, inclusive.
The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange
Commission, upon request, full information regarding the number of shares sold at each separate price that was included in the calculation of
tRheem warekigs:hted average price. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Erdtmann Rainer M 995 EAST ARQUES AVENUE SUNNYVALE, CA 94085 | X |
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Signatures
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/s/ Rainer Erdtmann | | 12/17/2019 |
**Signature of Reporting Person | Date |
PolarityTE (NASDAQ:PTE)
過去 株価チャート
から 6 2024 まで 7 2024
PolarityTE (NASDAQ:PTE)
過去 株価チャート
から 7 2023 まで 7 2024