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