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