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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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. | |||
| 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. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| SPANA CARL PALATIN TECHNOLOGIES, INC. 4B CEDAR BROOK DRIVE CRANBURY, NJ 08512 |
X | President and CEO | ||
| /s/ Carl Spana | 07/31/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| (1) | Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 16, 2024, the date of vesting. The grant of the underlying 6,465 time-based restricted share units which vested on June 16, 2024, with one-half the total shares reported on Form 4 filed on June 18, 2020, and the remaining one-half of the total shares reported on Form 4 filed on June 25, 2020. |
| (2) | Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 16, 2024, the date of vesting. The grant and vesting of the underlying 8,185 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024. |
| (3) | Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant of the underlying 7,045 time-based restricted share units, which vested on June 22, 2024, was reported on Form 4 filed on June 24, 2021. |
| (4) | Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 5,673 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024. |
| (5) | Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant of the underlying 4,550 time-based restricted share units which vested on June 22, 2024 was reported on Form 4 filed on June 24, 2022. |
| (6) | Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 5,318 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024. |
| (7) | Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 20, 2024, the date of vesting. The grant of the underlying 16,500 time-based restricted share units which vested on June 20, 2024, was reported on Form 4 filed on June 22, 2023. |
| (8) | Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 14,025 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024. |