Filing Details

Accession Number:
0001062993-21-007818
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-08-20 13:38:46
Reporting Period:
2021-07-06
Accepted Time:
2021-08-20 13:38:46
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
748592 Brooklyn Immunotherapeutics Inc. BTX Pharmaceutical Preparations (2834) 311103425
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1234956 Iii P George Denny C/O Locke Lord Llp
111 Huntington Avenue
Boston MA 02199
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 Disposition 2021-07-06 75,000 $16.06 4,775,117 No 4 S Indirect By Denny Family Partners II, LLC
Common Stock Acquisiton 2021-07-08 1 $14.35 1 No 4 P Indirect By Spouse
Common Stock Acquisiton 2021-07-09 1 $14.11 2 No 4 P Indirect By Spouse
Common Stock Acquisiton 2021-07-14 1 $11.99 3 No 4 P Indirect By Spouse
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Denny Family Partners II, LLC
No 4 P Indirect By Spouse
No 4 P Indirect By Spouse
No 4 P Indirect By Spouse
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 34,585 Indirect By George P. Denny Trust 6/11/81
Common Stock 4,094 Direct
Footnotes
  1. The sale by Denny Family Partners II, LLC of BTX Common Stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 3 shares, with the purchase of 3 shares of BTX Common Stock by the reporting person's spouse, also reported herein. The reporting person has agreed to pay to BTX, upon settlement of the sale, $8.78, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.
  2. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.41, inclusive. The reporting person undertakes to provide to Brooklyn ImmunoTherapeutics, Inc., any security holder of Brooklyn ImmunoTherapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 2.
  3. The reporting person disclaims beneficial ownership of the shares held by Denny Family Partners II, LLC except to the extent of his pecuniary interest therein.