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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1260990	Oncternal Therapeutics Inc.	ONCT	Pharmaceutical Preparations (2834)	621715807

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1778270	Shanghai Pharmaceutical (Usa) Inc.	C/O Oncternal Therapeutics, Inc. 12230 El Camino Real, Suite 300 San Diego CA 92130		No	No	Yes	No
1814155	Shanghai Pharmaceuticals Holding Co., Ltd.	C/O Oncternal Therapeutics, Inc. 12230 El Camino Real, Suite 300 San Diego CA 92130		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-07-21	1,049,317	$2.38	3,544,431	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See footnote

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants	Acquisiton	2020-07-21	524,658	$2.38	524,658	$2.32

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
524,658		2026-01-21	No	4	P	Indirect

Footnotes

Includes (i) 1,049,317 shares held of record by Shanghai Pharmaceuticals (HK) Investment Limited ("SPH HK") and (ii) 2,495,114 shares held of record by Shanghai Pharmaceutical (USA) Inc. ("SPH USA").
The shares reported in this transaction are directly held by SPH HK. Each of SPH HK and SPH USA are wholly owned subsidiaries Shanghai Pharmaceuticals Holding Co., Ltd. ("SPH"). As a result, SPH may be deemed to be the beneficial owner of the share held by SPH HK, but disclaims beneficial ownership of all the shares held except to the extent of its pecuniary interest therein.
The warrants are currently exercisable into shares of the Issuer's Common Stock except to the extent that the exercise would result in the beneficial ownership of more than 19.99% of the Issuer's outstanding Common Stock.