0001209191-22-051688.txt : 20220930 0001209191-22-051688.hdr.sgml : 20220930 20220930213653 ACCESSION NUMBER: 0001209191-22-051688 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220421 FILED AS OF DATE: 20220930 DATE AS OF CHANGE: 20220930 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 22NW Fund, LP CENTRAL INDEX KEY: 0001640809 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40388 FILM NUMBER: 221285694 BUSINESS ADDRESS: STREET 1: 1455 NW LEARY WAY STREET 2: SUITE 400 CITY: SEATTLE STATE: WA ZIP: 98107 BUSINESS PHONE: 206-227-3078 MAIL ADDRESS: STREET 1: 1455 NW LEARY WAY STREET 2: SUITE 400 CITY: SEATTLE STATE: WA ZIP: 98107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: English Aron R. CENTRAL INDEX KEY: 0001770436 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40388 FILM NUMBER: 221285695 MAIL ADDRESS: STREET 1: 1455 NW LEARY WAY, SUITE 400 CITY: SEATTLE STATE: WA ZIP: 98107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Anebulo Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001815974 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 851170950 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 1415 RANCH ROAD 629 SOUTH, SUITE 201 CITY: LAKEWAY STATE: TX ZIP: 78734 BUSINESS PHONE: 737 203 5270 MAIL ADDRESS: STREET 1: 1415 RANCH ROAD 629 SOUTH, SUITE 201 CITY: LAKEWAY STATE: TX ZIP: 78734 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-04-21 0 0001815974 Anebulo Pharmaceuticals, Inc. ANEB 0001770436 English Aron R. C/O ANEBULO PHARMACEUTICALS, INC. 1415 RANCH ROAD 620 SOUTH, SUITE 201 LAKEWAY TX 78734 1 0 1 0 0001640809 22NW Fund, LP 1455 NW LEARY WAY, SUITE 400 SEATTLE WA 98107 0 0 1 0 Common Stock 2022-09-28 4 A 0 1703577 2.81 A 5066290 I 22NW Fund, LP Common Stock 4654528 I Pharma Investors, LLC Stock Option (right to buy) 6.00 2022-04-21 4 A 0 30425 0.00 A 2027-02-28 Common Stock 30425 30425 D Common Stock Purchase Warrant (right to buy) 4.215 2022-09-28 4 A 0 1703577 0.125 A 2022-09-28 2027-09-28 Common Stock 1703577 1703577 D This Form 4 is filed jointly by Aron R. English and 22NW Fund, LP (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities of the Issuer owned directly by other members of the Section 13(d) group and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. Further, each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. Securities owned directly by 22NW Fund, LP. Mr. English, as the Manager of 22NW Fund GP, LLC, which is the General Partner of 22NW Fund, LP, may be deemed to beneficially own the securities owned directly by 22NW Fund, LP. Securities owned directly by Pharma Investors, LLC. Mr. English, as the owner of Pharma Investors, LLC, may be deemed to beneficially own the securities owned directly by Pharma Investors, LLC. 25% of the option vests on March 1, 2023. Thereafter, 1/48 of the option vests on a monthly basis over 36 months until the option becomes fully vested. /s/ Aron R. English 2022-09-30 22NW Fund, LP; By: 22 NW Fund GP, LLC; By: /s/ Aron R. English 2022-09-30