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SEC Filings

S-3
SEELOS THERAPEUTICS, INC. filed this Form S-3 on 02/01/2019
Entire Document
 

SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

The following table sets forth information with respect to the beneficial ownership, as of January 31, 2019 (the "Reference Date"), of Common Stock by (a) each of our Named Executive Officers and current directors individually, (b) our current directors and executive officers as a group and (c) each holder of more than 5% of the Company's outstanding Common Stock.

Beneficial ownership and percentage ownership are determined in accordance with the Rule 13d-3 of the Exchange Act. Under these rules, shares of Common Stock issuable under stock options or warrants that are exercisable within 60 days of the Reference Date are deemed outstanding for the purpose of computing the percentage ownership of the person holding the options or warrant(s), but are not deemed outstanding for the purpose of computing the percentage ownership of any other person.

Unless otherwise indicated and subject to applicable community property laws, to our knowledge, each stockholder named in the following table possesses sole voting and investment power over their shares of Common Stock, except for those jointly owned with that person's spouse.

Name and Address of Beneficial Owner

 

Number of Shares Beneficially
Owned

 

Percentage of Class (%)
(1)

 

Raj Mehra, Ph.D. (2)

 

3,081,546

 

 

49.5

%

Hudson Bay Master Fund Ltd. (3)

 

470,396

   

7.28

%

Altium Growth Fund, LP (4)

 

411,616

   

6.43

%

Entities Affiliated with Empery Asset Management LP (5)

 

411,612

   

6.43

%

CVI Investments, Inc. (6)

 

411,616

   

6.43

%

         

Directors and Named Executive Officers (7)

 

         
 

 

 

 

 

Richard Pascoe, Director (8)

 

19,071

   

*

 

Brian T. Dorsey, Former Senior Vice President, Chief Development Officer (9)

 

7,530

 

 

*

 

Neil Morton, Former Senior Vice President, Chief Business Officer (10)

 

7,038

 

 

*

 

Robin L. Smith, M.D., Director

 

-

 

 

-

 

Daniel J. O'Connor, Director

 

-

 

 

-

 

Brian Lian, Ph.D., Director

 

-

 

 

-

 

All current executive officers and directors as a group (five persons) (11)

 

3,100,617

 

 

49.7%

 

55



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