0001354488-17-000033.txt : 20170104 0001354488-17-000033.hdr.sgml : 20170104 20170104163357 ACCESSION NUMBER: 0001354488-17-000033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161230 FILED AS OF DATE: 20170104 DATE AS OF CHANGE: 20170104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TG THERAPEUTICS, INC. CENTRAL INDEX KEY: 0001001316 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 363898269 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 787 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 554-4484 MAIL ADDRESS: STREET 1: 787 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: MANHATTAN PHARMACEUTICALS INC DATE OF NAME CHANGE: 20030310 FORMER COMPANY: FORMER CONFORMED NAME: ATLANTIC TECHNOLOGY VENTURES INC DATE OF NAME CHANGE: 20000330 FORMER COMPANY: FORMER CONFORMED NAME: ATLANTIC PHARMACEUTICALS INC DATE OF NAME CHANGE: 19960703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WEISS MICHAEL S CENTRAL INDEX KEY: 0001038977 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32639 FILM NUMBER: 17506046 MAIL ADDRESS: STREET 1: 750 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 issuerdirect_section16.xml PRIMARY DOCUMENT X0306 4 2016-12-30 0 0001001316 TG THERAPEUTICS, INC. TGTX 0001038977 WEISS MICHAEL S 2 GANSEVOORT STREET 9TH FLOOR NEW YORK NY 10014 1 1 1 CEO and President Common Stock (Restricted) 2017-01-01 4 D 0 3381866 0.00 D 6073796 D Common Stock (Restricted) 2017-01-01 4 A 0 2960000 0.00 A 9033796 I See Note 4 Common Stock (Restricted) 2017-01-01 4 A 0 418371 0.00 A 9452167 D Common Stock (Restricted) 2016-12-30 4 A 0 693750 0.00 A 10145917 I See Note 4 Mr. Weiss forfeited the shares pursuant to an amendment to his employment agreement effective as of January 1, 2017. Included in Mr. Weiss' beneficial ownership are 4,499,560 shares of Common Stock and 410,450 warrants to purchase Common Stock at $2.48, exercisable through February 24, 2017 issued to Opus Point Partners, LLC, of which Mr. Weiss is a co-founder, managing partner, and principal and beneficially owns a 50% interest. Represents shares of restricted stock which vest based on certain market capitalization milestones. The shares are held by Caribe BioAdvisors, LLC, of which Mr. Weiss is the sole member. 375,000 shares vest on December 1, 2018 and 43,371 shares vest on December 1, 2019. Reflects an annual grant of restricted stock pursuant to Mr. Weiss? employment agreement to be held by Caribe BioAdvisors, LLC. The restricted shares will vest according to the following schedule: 25% on January 1, 2018; 25% on January 1, 2019; and 50% on the date that the Company's Market Capitalization is $100 million greater than the Market Capitalization on December 31, 2016. /s/ Michael Weiss 2017-01-04