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