UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Common Stock Warrant (2) | 12/15/2017 | 07/15/2035 | Common Stock | 500,000 | $ 0.596 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROSENWALD LINDSAY A MD C/O JOURNEY MEDICAL CORPORATION, 9237 E VIA DE VENTURA BLVD., SUITE 105 SCOTTSDALE, AZ 85258 |
X |
/s/ Ramsey Alloush, attorney-in-fact | 07/25/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The shares are held by a limited liability company over which the reporting person, as managing member, is deemed to have voting and investment power. |
(2) | The reporting person holds a warrant with the right to purchase 500,000 shares of common stock, par value $0.0001 per share, of the Issuer. These warrants were granted to Dr. Rosenwald from Fortress Biotech, Inc. pursuant to the Amended and Restated Common Stock Warrant, dated December 12, 2017. |
Remarks: This Form 3 is being filed late due to an inadvertent administrative error. Exhibit 24 - Power of Attorney. |