Dunton Alan W's Form 4 filing
Palatin Technologies Inc (PTN) · filed Jun 17, 2025
- Accession no.
- 0001654954-25-007105
- Filed
- Jun 17, 2025
- Trade date
- Jun 13, 2025
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 1 derivative transaction. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Dunton Alan WCIK 0001304773 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 13, 2025 | Series D Preferred Stock | PPurchaseAcquired | +200 | $20,000.00 | +$4,000,000 | 224,112 | Direct | Price outlier |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 13, 2025 | Common Stock | PPurchaseAcquired | +363,636 | $0.00F1 | $0 | 420,016 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each share of Series D Convertible Preferred Stock has a stated value of $100 per share, and is convertible to common stock at an initial conversion price of $0.11 per share, for a total of 181,818 shares of common stock. The Series D Preferred Stock and Series I common stock purchase warrants were sold at a combined offering price of $0.11 per share of common stock obtainable upon conversion of the Series D Convertible Preferred Stock.
Referenced by the price of 1 transaction in Table II.