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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
English Aron R. C/O ANEBULO PHARMACEUTICALS, INC. 1415 RANCH ROAD 620 SOUTH, SUITE 201 LAKEWAY, TX 78734 |
X | X | See Explanation of Responses | |
22NW Fund, LP 1455 NW LEARY WAY, SUITE 400 SEATTLE, WA 98107 |
X | See Explanation of Responses |
/s/ Aron R. English | 05/17/2021 | |
**Signature of Reporting Person | Date | |
22NW Fund, LP; By: 22NW Fund GP, LLC: By: /s/ Aron R. English | 05/17/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Form 4 is being filed to amend the prior Form 4 filed by the Reporting Persons with the U.S. Securities and Exchange Commission on May 7, 2021. The prior Form 4 is hereby corrected to state that the entity that directly holds the securities is 22NW Fund, LP, not 22NW, LP. In addition, the prior Form 4 is hereby corrected to state that the amount of securities purchased in the transaction on May 6, 2021 is 714,250, not 714,286. Accordingly, the total amount of shares owned by 22NW Fund, LP is 3,343,565. 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. |