0000899243-22-037275.txt : 20221201 0000899243-22-037275.hdr.sgml : 20221201 20221201160519 ACCESSION NUMBER: 0000899243-22-037275 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221129 FILED AS OF DATE: 20221201 DATE AS OF CHANGE: 20221201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Postma Robert W CENTRAL INDEX KEY: 0001827847 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33038 FILM NUMBER: 221438856 MAIL ADDRESS: STREET 1: 141 MECOX ROAD CITY: WATER MILL STATE: NY ZIP: 11976 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alaunos Therapeutics, Inc. CENTRAL INDEX KEY: 0001107421 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 841475642 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8030 EL RIO STREET CITY: HOUSTON STATE: TX ZIP: 77054 BUSINESS PHONE: (346) 355-4099 MAIL ADDRESS: STREET 1: 8030 EL RIO STREET CITY: HOUSTON STATE: TX ZIP: 77054 FORMER COMPANY: FORMER CONFORMED NAME: ZIOPHARM ONCOLOGY INC DATE OF NAME CHANGE: 20050919 FORMER COMPANY: FORMER CONFORMED NAME: EASYWEB INC DATE OF NAME CHANGE: 20010213 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-11-29 0 0001107421 Alaunos Therapeutics, Inc. TCRT 0001827847 Postma Robert W C/O ALAUNOS THERAPEUTICS, INC. 8030 EL RIO ST. HOUSTON TX 77054 1 0 0 0 Common Stock 2022-11-29 4 P 0 750000 0.65 A 5000000 I By WaterMill Asset Management Corp. Common Stock 1241870 D Common Stock 3574 I By Spouse's IRA The shares are directly held by WaterMill Asset Management Corp. The Reporting Person serves as the principal of WaterMill Asset Management Corp. The shares were purchased in a registered underwritten offering on November 29, 2022. Includes 946,970 shares of common stock underlying units of the Issuer (the "Units"). Each Unit is comprised of one share of common stock and one warrant to acquire one share of common stock. The Reporting Person previously purchased 946,970 Units in a private placement transaction with the Issuer. /s/ Melinda Lackey, Attorney-in-Fact 2022-12-01