Statement of Changes in Beneficial Ownership (4)
July 07 2021 - 4:30PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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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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1. Name and Address of Reporting Person
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WEAVER GREGORY L |
2. Issuer Name and Ticker or Trading Symbol
ATOSSA THERAPEUTICS, INC.
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ATOS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ATOSSA THERAPEUTICS, INC.,, 107 SPRING STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/2/2021 |
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(Street)
SEATTLE, WA 98104
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 7/2/2021 | | M | | 4581 | A | $5.64 | 4581 | D | |
| Common Stock | 7/2/2021 | | M | | 45000 | A | $2.38 | 49581 | D | |
| Common Stock | 7/2/2021 | | M | | 45000 | A | $2.52 | 94581 | D | |
| Common Stock | 7/2/2021 | | M | | 70000 | A | $1.70 | 164581 | D | |
| Common Stock | 7/2/2021 | | F | | 57084 | D | $6.40 (1) | 107497 | D | |
| Common Stock | 7/2/2021 | | S | | 107497 | D | $5.58 (2) | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (right to buy) | $5.64 | 7/2/2021 | | M | | | 4581 | (3) | (3) | Common Stock | 4581 | $0 | 0 | D | |
| Stock Option (right to buy) | $2.38 | 7/2/2021 | | M | | | 45000 | (4) | (4) | Common Stock | 45000 | $0 | 0 | D | |
| Stock Option (right to buy) | $2.52 | 7/2/2021 | | M | | | 45000 | (5) | (5) | Common Stock | 45000 | $0 | 0 | D | |
| Stock Option (right to buy) | $1.70 | 7/2/2021 | | M | | | 70000 | (6) | (6) | Common Stock | 70000 | $0 | 0 | D | |
| Explanation of Responses: |
| (1) | Reflects the Nasdaq closing price of the Issuer's common stock on July 01, 2021. |
| (2) | Reflects the weighted average sale price. The range of prices for such transaction is $5.51 to $5.65. Open market sale transactions were made on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
| (3) | These options were granted on May 24, 2017, vested on a quarterly basis over 12 months and expire 10 years from the grant date. |
| (4) | These options were granted on June 27, 2018, vested on a quarterly basis over 12 months and expire 10 years from the grant date. |
| (5) | These options were granted on May 17, 2019, vested on a quarterly basis over 12 months and expire 10 years from the grant date. |
| (6) | These options were granted on May 15, 2020, vested on a quarterly basis over 12 months and expire 10 years from the grant date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
WEAVER GREGORY L
C/O ATOSSA THERAPEUTICS, INC.,
107 SPRING STREET
SEATTLE, WA 98104 | X |
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Signatures
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| /s/ Gregory L. Weaver | | 7/7/2021 |
| **Signature of Reporting Person | Date |
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