SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL 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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1. Name and Address of Reporting Person*
Deniger Drew

(Last) (First) (Middle)
C/O ALAUNOS THERAPEUTICS, INC.
8030 EL RIO ST.

(Street)
HOUSTON TX 77054

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/29/2022
3. Issuer Name and Ticker or Trading Symbol
Alaunos Therapeutics, Inc. [ TCRT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP, Research & Development
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 15,000 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) (1) 09/23/2029 Common Stock 50,000 4.13 D
Employee Stock Option (right to buy) (2) 12/30/2029 Common Stock 30,000 4.72 D
Employee Stock Option (right to buy) (3) 01/03/2031 Common Stock 75,000 2.82 D
Employee Stock Option (right to buy) (4) 03/03/2031 Common Stock 35,000 4.31 D
Employee Stock Option (right to buy) (5) 10/28/2031 Common Stock 250,000 1.5 D
Explanation of Responses:
1. The option was granted on September 24, 2019. One-fourth of the shares underlying the option vested on September 24, 2020, and the remainder vests in twelve successive equal quarterly installments measured from September 24, 2020, subject to the Reporting Person's continued service through each such date.
2. The option was granted on December 31, 2019. One-twelfth of the shares underlying the option vest in equal quarterly installments commencing three months after the grant date, subject to the Reporting Person's continued service through each such date.
3. The option was granted on January 4, 2021. One-twelfth of the shares underlying the option vest in equal quarterly installments commencing three months after the grant date, subject to the Reporting Person's continued service through each such date.
4. The option was granted on March 4, 2021. One-sixteenth of the shares underlying the option vest in equal quarterly installments commencing three months after December 31, 2020, subject to the Reporting Person's continued service through each such date.
5. The option was granted on October 29, 2021. One-sixteenth of the shares underlying the option vest in equal quarterly installments commencing three months after the grant date, subject to the Reporting Person's continued service through each such date.
Remarks:
/s/ Drew Deniger 04/08/2022
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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