0001654954-21-012057.txt : 20211112 0001654954-21-012057.hdr.sgml : 20211112 20211112120145 ACCESSION NUMBER: 0001654954-21-012057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210216 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Breen Michael Martin CENTRAL INDEX KEY: 0001863633 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40023 FILM NUMBER: 211401770 MAIL ADDRESS: STREET 1: LOWSLEY HOUSE 133 HEADLEY ROAD CITY: LIPHOOK STATE: X0 ZIP: GU30 7PU ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GT Biopharma, Inc. CENTRAL INDEX KEY: 0000109657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 941620407 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9350 WILSHIRE BLVD. STREET 2: SUITE 203 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 BUSINESS PHONE: (800) 304-9888 MAIL ADDRESS: STREET 1: 9350 WILSHIRE BLVD. STREET 2: SUITE 203 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 FORMER COMPANY: FORMER CONFORMED NAME: OXIS INTERNATIONAL INC DATE OF NAME CHANGE: 19940916 FORMER COMPANY: FORMER CONFORMED NAME: DDI PHARMACEUTICALS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DIAGNOSTIC DATA INC /DE/ DATE OF NAME CHANGE: 19850312 4 1 section16.xml PRIMARY DOCUMENT X0306 4 2021-02-16 0000109657 GT Biopharma, Inc. GTBP 0001863633 Breen Michael Martin C/O GT BIOPHARMA, INC 9350 WILSHIRE BLVD., STE. 203 BEVERLY HILLS CA 90212 true false false false Common Stock 2021-02-16 4 A false 278058 0.00 A 278058 D Common Stock 2021-02-25 4 C false 40243 3.40 A 318301 D Common Stock 2021-02-25 4 C false 9859 3.40 A 328160 D Option to purchase Common Stock 6.33 2021-02-16 4 A false 50000 0.00 A 2031-02-15 Common Stock 50000 50000 D 10% Senior Convertible Debenture 3.40 2021-02-25 4 C false 100000 0 D 2018-09-07 Common Stock 40243 0 D 10% Senior Convertible Debenture 3.40 2021-02-25 4 C false 30000 0 D 2020-06-23 2021-06-23 Common Stock 9859 0 D Represents a grant of shares of restricted stock ("RSAs"). 1/3rd of the RSAs vest on January 13, 2021, 2022 and 2023. 1/3rd of the shares vest on February 16, 2021, 2022 and 2023. While the maturity date of the Debenture was September 7, 2019, the Registrant did not repay the Debenture on the maturity date and the Debenture remained outstanding until converted. /s/ Michael Martin Bree 2021-11-09