# EDGAR Filing Document

**Accession Number:** 0001107421
**File Stem:** 0000950170-25-090587
**Filing Date:** 2025-6
**Character Count:** 7267
**Document Hash:** 79e5635812efe7560b410f810b4b3035
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950170-25-090587.hdr.sgml**: 20250626

**ACCESSION NUMBER**: 0000950170-25-090587

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250624

**FILED AS OF DATE**: 20250626

**DATE AS OF CHANGE**: 20250626

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Postma Robert W
- **CENTRAL INDEX KEY:** 0001827847

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33038
- **FILM NUMBER:** 251081984

**MAIL ADDRESS:**
- **STREET 1:** 141 MECOX ROAD
- **CITY:** WATER MILL
- **STATE:** NY
- **ZIP:** 11976
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Alaunos Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001107421
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 841475642
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 2617 BISSONNET ST
- **STREET 2:** SUITE 233
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77005
- **BUSINESS PHONE:** (346) 355-4099

**MAIL ADDRESS:**
- **STREET 1:** 2617 BISSONNET ST
- **STREET 2:** SUITE 233
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77005

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ZIOPHARM ONCOLOGY INC
- **DATE OF NAME CHANGE:** 20050919

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** EASYWEB INC
- **DATE OF NAME CHANGE:** 20010213

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Postma Robert W<br><sub>(Last) (First) (Middle)</sub><br>C/O ALAUNOS THERAPEUTICS, INC.<br>2617 BISSONNET ST, SUITE 233<br><sub>(Street)</sub><br>HOUSTON, TX 770005<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-24 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Alaunos Therapeutics, Inc. [ TCRT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-04-13 |  | A |  | 20804 | A | $2.92 | 29083 | D |  |
| Common Stock |  |  |  |  |  |  |  | 24 | I | By spouse's IRA |
| Common Stock |  |  |  |  |  |  |  | 33333 | I | By WaterMill Asset Management Corp.<sup>(1)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Series A-1 Convertible Preferred Stock | $2.76 | 2025-04-11 |  | P |  | 500 |  | 2025-04-11 | <sup>(2)</sup> | Common Stock | 181159<sup>(3)</sup> | $2.76 | 500 | I | By WaterMill Asset Management Corp.<sup>(1)</sup> |
| Series A-2 Convertible Preferred Stock | $4.49 | 2025-06-24 |  | P |  | 600 |  | 2025-06-24 | <sup>(2)</sup> | Common Stock | 133630.29 | $4.49 | 600 | I | By Watermill Asset Management Corp<sup>(1)</sup> |
| Employee Stock Option (right to buy) | $10.3 |  |  |  |  |  |  | <sup>(4)</sup> | 2034-06-05 | Common Stock | 3737 |  | 3737 | D |  |

---

### Footnotes:

(1) The shares are directly held by WaterMill Asset Management Corp. ("WaterMill"). The Reporting Person serves as the principal of WaterMill.

(2) The preferred stock is perpetual and therefore has no expiration date.

(3) The reporting person disclaims beneficial ownership of these equity securities to the extent that after giving effect of the conversion of the preferred stock and the underlying common stock issuance, the reporting person would beneficially own in the aggregate in excess of 4.99% of the outstanding shares immediately after giving effect to such conversion or issuance.

(4) One-twelfth of the Option vests each month on the monthly anniversary of June 6, 2024, with any amount that remains unvested on the date immediately preceding the Company's 2025 annual general meeting of stockholders vesting thereon.

**Signature:** /s/ Melinda Lackey, Attorney-in-Fact  
**Date:** 2025-06-26

### Remarks:

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 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**