0000899243-20-020210.txt : 20200723
0000899243-20-020210.hdr.sgml : 20200723
20200723163230
ACCESSION NUMBER: 0000899243-20-020210
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200721
FILED AS OF DATE: 20200723
DATE AS OF CHANGE: 20200723
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shanghai Pharmaceutical (USA) Inc.
CENTRAL INDEX KEY: 0001778270
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-50549
FILM NUMBER: 201043966
BUSINESS ADDRESS:
STREET 1: C/O ONCTERNAL THERAPEUTICS, INC.
STREET 2: 3525 DEL MAR HEIGHTS ROAD #821
CITY: SAN DIEGO
STATE: CA
ZIP: 92130-2122
BUSINESS PHONE: (858) 434-1113
MAIL ADDRESS:
STREET 1: C/O ONCTERNAL THERAPEUTICS, INC.
STREET 2: 3525 DEL MAR HEIGHTS ROAD #821
CITY: SAN DIEGO
STATE: CA
ZIP: 92130-2122
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shanghai Pharmaceuticals Holding Co., Ltd.
CENTRAL INDEX KEY: 0001814155
STATE OF INCORPORATION: K3
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-50549
FILM NUMBER: 201043967
BUSINESS ADDRESS:
STREET 1: C/O ONCTEMAL THERAPEUTICS, INC.
STREET 2: 12230 EL CAMINO REAL, SUITE 300
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
BUSINESS PHONE: (858) 434-1113
MAIL ADDRESS:
STREET 1: C/O ONCTEMAL THERAPEUTICS, INC.
STREET 2: 12230 EL CAMINO REAL, SUITE 300
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Oncternal Therapeutics, Inc.
CENTRAL INDEX KEY: 0001260990
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 621715807
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 12230 EL CAMINO REAL
STREET 2: SUITE 300
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
BUSINESS PHONE: (858) 434-1113
MAIL ADDRESS:
STREET 1: 12230 EL CAMINO REAL
STREET 2: SUITE 300
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
FORMER COMPANY:
FORMER CONFORMED NAME: GTX INC /DE/
DATE OF NAME CHANGE: 20030822
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-07-21
0
0001260990
Oncternal Therapeutics, Inc.
ONCT
0001778270
Shanghai Pharmaceutical (USA) Inc.
C/O ONCTERNAL THERAPEUTICS, INC.
12230 EL CAMINO REAL, SUITE 300
SAN DIEGO
CA
92130
0
0
1
0
0001814155
Shanghai Pharmaceuticals Holding Co., Ltd.
C/O ONCTERNAL THERAPEUTICS, INC.
12230 EL CAMINO REAL, SUITE 300
SAN DIEGO
CA
92130
0
0
1
0
Common Stock
2020-07-21
4
P
0
1049317
2.3825
A
3544431
I
See footnote
Warrants
2.32
2020-07-21
4
P
0
524658
2.3825
A
2026-01-21
Common Stock
524658
524658
I
See footnote
Includes (i) 1,049,317 shares held of record by Shanghai Pharmaceuticals (HK) Investment Limited ("SPH HK") and (ii) 2,495,114 shares held of record by Shanghai Pharmaceutical (USA) Inc. ("SPH USA").
The shares reported in this transaction are directly held by SPH HK. Each of SPH HK and SPH USA are wholly owned subsidiaries Shanghai Pharmaceuticals Holding Co., Ltd. ("SPH"). As a result, SPH may be deemed to be the beneficial owner of the share held by SPH HK, but disclaims beneficial ownership of all the shares held except to the extent of its pecuniary interest therein.
The warrants are currently exercisable into shares of the Issuer's Common Stock except to the extent that the exercise would result in the beneficial ownership of more than 19.99% of the Issuer's outstanding Common Stock.
SHANGHAI PHARMACEUTICAL (USA) INC., By: /s/ Shen Bo, Name: Shen Bo, Title: Authorized Signatory
2020-07-23
SHANGHAI PHARMACEUTICALS HOLDING CO., LTD., By: /s/ Shen Bo, Name: Shen Bo, Title: Authorized Signatory
2020-07-23