UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Murphy Keith 12707 HIGH BLUFF DR. SUITE 200 SAN DIEGO, CA 92130 |
X |
/s/ Anthony Scott Praill, attorney-in-fact for Keith Murphy | 08/21/2020 | |
**Signature of Reporting Person | Date |
No securities are beneficially owned | |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Remarks: On August 19, 2020, the merger (the "Merger") of Adgero Acquisition Corp., a subsidiary of the Issuer, with and into Adgero Biopharmaceuticals Holdings, Inc., pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 9, 2020, was completed. This report reflects the beneficial ownership of the Reporting Person at the time of completion of the Merger and does not include the securities of the Issuer acquired by the Reporting Person upon the completion of the Merger. The Reporting Person will file a Form 4 reflecting the Reporting Person's acquisition of securities of the Issuer in connection with the completion of the Merger. Exhibit List Exhibit 24 - Power of Attorney |