0001104659-23-078096.txt : 20230705 0001104659-23-078096.hdr.sgml : 20230705 20230705160848 ACCESSION NUMBER: 0001104659-23-078096 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230705 DATE AS OF CHANGE: 20230705 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38114 FILM NUMBER: 231068895 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 FORMER NAME: FORMER CONFORMED NAME: ROSENWALD LINDSAY MD DATE OF NAME CHANGE: 19950316 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AVENUE THERAPEUTICS, INC. CENTRAL INDEX KEY: 0001644963 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 474113275 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1111 KANE CONCOURSE STREET 2: SUITE 301 CITY: BAY HARBOR ISLANDS STATE: FL ZIP: 33154 BUSINESS PHONE: 781-652-4500 MAIL ADDRESS: STREET 1: 1111 KANE CONCOURSE STREET 2: SUITE 301 CITY: BAY HARBOR ISLANDS STATE: FL ZIP: 33154 4 1 tm2320488d4_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-30 0 0001644963 AVENUE THERAPEUTICS, INC. ATXI 0000941841 ROSENWALD LINDSAY A MD 1111 KANE CONCOURSE, SUITE 301 BAY HARBOR ISLANDS FL 33154 1 0 0 0 0 Employee stock option (right to buy) 1.14 2023-06-30 4 A 0 100000 0 A 2033-06-30 Common Stock 100000 100000 D The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2024; (ii) one-third of the shares subject to the option vest on January 1, 2025; and (iii) one-third of the shares subject to the option vest on January 1, 2026. Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. /s/ Lindsay A. Rosenwald, M.D. 2023-07-05