0001213900-20-029374.txt : 20200930 0001213900-20-029374.hdr.sgml : 20200930 20200930210149 ACCESSION NUMBER: 0001213900-20-029374 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200929 FILED AS OF DATE: 20200930 DATE AS OF CHANGE: 20200930 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Patel Snehal CENTRAL INDEX KEY: 0001806920 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39555 FILM NUMBER: 201214024 MAIL ADDRESS: STREET 1: 2311 SPARTAN TRAIL CITY: SUGAR LAND STATE: TX ZIP: 77479 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Greenwich LifeSciences, Inc. CENTRAL INDEX KEY: 0001799788 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 205473709 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3992 BLUEBONNET DR, BUILDING 14 CITY: STAFFORD STATE: TX ZIP: 77477 BUSINESS PHONE: 203-434-3290 MAIL ADDRESS: STREET 1: 3992 BLUEBONNET DR, BUILDING 14 CITY: STAFFORD STATE: TX ZIP: 77477 4 1 ownership.xml X0306 4 2020-09-29 0 0001799788 Greenwich LifeSciences, Inc. GLSI 0001806920 Patel Snehal C/O GREENWICH LIFESCIENCES, INC. 3992 BLUEBONNET DR., BUILDING 14 STAFFORD TX 77477 1 1 0 0 CEO and CFO Common Stock 2020-09-29 4 M 0 176448 A 1040131 D Common Stock 2020-09-29 4 M 0 13736 A 1053867 D Common Stock 2020-09-29 4 M 0 10394 A 1064261 D Common Stock 2020-09-29 4 M 0 103911 A 1168172 D Common Stock 2020-09-29 4 M 0 1144529 A 1321327 I see footnote Common Stock 2020-09-29 4 M 0 2997 A 1324324 I see footnote Common Stock 2020-09-29 4 M 0 33708 A 1358032 I see footnote Common Stock 2020-09-29 4 M 0 50001 A 1408033 I see footnote Common Stock 2020-09-29 4 M 0 76780 A 76780 I see footnote Common Stock 2020-09-29 4 M 0 52620 A 129400 I see footnote Common Stock 2405670 I see footnote Common Stock 1320226 I see footnote Common Stock 1329590 I see footnote Series A Preferred Stock 2020-09-29 4 M 0 176448 0 D Common Stock 176448 0 D Series A Preferred Stock 2020-09-29 4 M 0 1144529 0 D Common Stock 1144529 0 I see footnote Series B Preferred Stock 2020-09-29 4 M 0 13736 0 D Common Stock 13736 0 D Series B Preferred Stock 2020-09-29 4 M 0 76780 0 D Common Stock 76780 0 I see footnote Series B Preferred Stock 2020-09-29 4 M 0 2997 0 D Common Stock 2997 0 I see footnote Series C Preferred Stock 2020-09-29 4 M 0 10394 0 D Common Stock 10394 0 D Series C Preferred Stock 2020-09-29 4 M 0 33708 0 D Common Stock 33708 0 I see footnote Series D Preferred Stock 2020-09-29 4 M 0 89510 0 D Common Stock 89510 0 D Series D Preferred Stock 2020-09-29 4 M 0 45328 0 D Common Stock 45328 0 I see footnote Series D Preferred Stock 2020-09-29 4 M 0 43072 0 D Common Stock 43072 0 I see footnote Series D Preferred Stock 2020-09-29 4 J 0 14401 0 A Common Stock 14401 14401 D Series D Preferred Stock 2020-09-29 4 J 0 6929 0 A Common Stock 6929 6929 I see footnote Series D Preferred Stock 2020-09-29 4 J 0 7292 0 A Common Stock 7292 7292 I see footnote Series D Preferred Stock 2020-09-29 4 M 0 14401 0 D Common Stock 14401 0 D Series D Preferred Stock 2020-09-29 4 M 0 6929 0 D Common Stock 6929 0 I see footnote Series D Preferred Stock 2020-09-29 4 M 0 7292 0 D Common Stock 7292 0 I see footnote The securities are owned by Snehal Patel IRA. Snehal Patel is the Trustee of Snehal Patel IRA, and in such capacity is deemed to hold voting and dispositive power over the securities held by such IRA. Kinnary Patel is the spouse of Snehal Patel and Trustee of the Kinnary Patel IRA. The securities are owned by Patel Family Trust 1. Snehal Patel, as co-Trustee of Patel Family Trust 1, shares voting and dispositive power over the securities held by such trust with his spouse. The securities are owned by Patel Family Trust 2. Snehal Patel, as co-Trustee of Patel Family Trust 2, shares voting and dispositive power over the securities held by such trust with his spouse. The securities are owned by Patel Family Trust 3. Snehal Patel, as co-Trustee of Patel Family Trust 3, shares voting and dispositive power over the securities held by such trust with his spouse. The Series A Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date. The Series B Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date. The Series C Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date. The Series D Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date. The Series D Preferred Stock have no expiration date and are convertible, at the option of the holder, into shares of common stock of the Issuer at the then-effective conversion rate for no additional consideration (subject to the payment of cash, if applicable, in lieu of any fractional shares in accordance with the Issuer's Amended and Restated Certificate of Incorporation, as amended (the "Certificate of Incorporation"). The Reporting Person was issued additional shares of Series D Preferred Stock in connection with the Issuer's initial public offering as a result of the anti-dilution protection provisions set forth in the Issuer's Certificate of Incorporation. /s/ Snehal Patel 2020-09-30