# EDGAR Filing Document

**Accession Number:** 0001429260
**File Stem:** 0001104659-23-001925
**Filing Date:** 2023-1
**Character Count:** 12817
**Document Hash:** 20c4ecffb16098c14ef42347727bba1d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-001925.hdr.sgml**: 20230106

**ACCESSION NUMBER**: 0001104659-23-001925

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230105

**FILED AS OF DATE**: 20230106

**DATE AS OF CHANGE**: 20230106

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Fortress Biotech, Inc.
- **CENTRAL INDEX KEY:** 0001429260
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38128
- **FILM NUMBER:** 23516121

**BUSINESS ADDRESS:**
- **STREET 1:** 1111 KANE CONCOURSE
- **STREET 2:** SUITE 301
- **CITY:** BAY HARBOR ISLANDS
- **STATE:** FL
- **ZIP:** 33154
- **BUSINESS PHONE:** 781-652-4500

**MAIL ADDRESS:**
- **STREET 1:** 1111 KANE CONCOURSE
- **STREET 2:** SUITE 301
- **CITY:** BAY HARBOR ISLANDS
- **STATE:** FL
- **ZIP:** 33154

**FORMER NAME:**
- **FORMER CONFORMED NAME:** CORONADO BIOSCIENCES INC
- **DATE OF NAME CHANGE:** 20080310
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Checkpoint Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001651407
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 472568632
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 95 SAWYER ROAD
- **STREET 2:** SUITE 110
- **CITY:** WALTHAM
- **STATE:** MA
- **ZIP:** 02453
- **BUSINESS PHONE:** 781-652-4500

**MAIL ADDRESS:**
- **STREET 1:** 95 SAWYER ROAD
- **STREET 2:** SUITE 110
- **CITY:** WALTHAM
- **STATE:** MA
- **ZIP:** 02453

## Ex-99

**Exhibit 99**

---

| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| **1. Title of Security (Instr. 3)** | **2. Transaction Date<br> (Month/Day/Year)** | **2A. Deemed<br> Execution Date,<br> if any<br> (Month/Day/Year)** | **3. Transaction Code<br> (Instr. 8)** | **4. Securities Acquired (A)<br> or Disposed Of (D)<br> (Instr. 3, 4 and 5)<sup>(3)</sup>** | **5. Amount of<br> Securities<br> Beneficially<br> Owned Following<br> Reported<br> Transaction(s)<br> (Instr. 3 and 4) <sup>(3)</sup>** | **7. Nature<br> of Indirect<br> Beneficial<br> Ownership<br> (Instr. 4)** |
| **1. Title of Security (Instr. 3)** | **2. Transaction Date<br> (Month/Day/Year)** | **2A. Deemed<br> Execution Date,<br> if any<br> (Month/Day/Year)** | **V** | **Price** | **5. Amount of<br> Securities<br> Beneficially<br> Owned Following<br> Reported<br> Transaction(s)<br> (Instr. 3 and 4) <sup>(3)</sup>** | **7. Nature<br> of Indirect<br> Beneficial<br> Ownership<br> (Instr. 4)** |
| COMMON STOCK, PAR VALUE $0.0001 | 1/1/2018 | A | 59183<sup>(1)</sup> A | $0.00 | 329454 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 3/12/2018 | A | 13225<sup>(2)</sup> A | $0.00 | 342679 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 9/26/2018 | A | 4604<sup>(2)</sup> A | $0.00 | 347283 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 1/1/2019 | A | 96043<sup>(1)</sup> A | $0.00 | 443326 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 2/14/2019 | A | 225<sup>(2)</sup> A | $0.00 | 443551 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 6/28/2019 | A | 2494<sup>(2)</sup> A | $0.00 | 446045 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 9/24/2019 | A | 2834<sup>(2)</sup> A | $0.00 | 448879 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 9/30/2019 | A | 22<sup>(2)</sup> A | $0.00 | 448901 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 11/27/2019 | A | 38500<sup>(2)</sup> A | $0.00 | 487401 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 11/27/2019 | A | 106<sup>(2)</sup> A | $0.00 | 487507 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 2/6/2020 | J | 2500<sup>(4)</sup> D | $0.00 | 485007 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 6/4/2020 | A | 145931<sup>(1)</sup> A | $0.00 | 630938 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 6/30/2020 | A | 3257<sup>(2)</sup> A | $0.00 | 634195 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 9/22/2020 | A | 5777<sup>(2)</sup> A | $0.00 | 639972 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 9/22/2020 | A | 18304<sup>(2)</sup> A | $0.00 | 658276 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 12/30/2020 | A | 3724<sup>(2)</sup> A | $0.00 | 662000 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 1/1/2021 | A | 174245<sup>(1)</sup> A | $0.00 | 836245 D |  |

---

---

| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| **1. Title of Security (Instr. 3)** | **2. Transaction<br> Date<br> (Month/Day/Year)** | **2A. Deemed<br> Execution Date,<br> if any<br> (Month/Day/Year)** | | | **5. Amount of<br> Securities<br> Beneficially<br> Owned Following<br> Reported<br> Transaction(s)<br> (Instr. 3 and 4) <sup>(3)</sup>** | **7. Nature<br> of Indirect<br> Beneficial<br> Ownership<br> (Instr. 4)** |
| **1. Title of Security (Instr. 3)** | **2. Transaction<br> Date<br> (Month/Day/Year)** | **2A. Deemed<br> Execution Date,<br> if any<br> (Month/Day/Year)** | **3. Transaction Code<br> (Instr. 8)**<br>**V** | **4. Securities Acquired (A)<br> or Disposed Of (D)<br> (Instr. 3, 4 and 5)<sup>(3)</sup>**<br>**Price** | **5. Amount of<br> Securities<br> Beneficially<br> Owned Following<br> Reported<br> Transaction(s)<br> (Instr. 3 and 4) <sup>(3)</sup>** | **7. Nature<br> of Indirect<br> Beneficial<br> Ownership<br> (Instr. 4)** |
| COMMON STOCK, PAR VALUE $0.0001 | 3/29/2021 | A | 17563<sup>(1)</sup> A | $0.00 | 853808 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 6/29/2021 | A | 8436<sup>(2)</sup> A | $0.00 | 862244 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 9/29/2021 | A | 1153<sup>(2)</sup> A | $0.00 | 863397 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 11/30/2021 | A | 2597<sup>(2)</sup> A | $0.00 | 865994 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 1/1/2022 | A | 212142<sup>(1)</sup> A | $0.00 | 1078136 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 3/31/2022 | A | 9355<sup>(2)</sup> A | $0.00 | 1087491 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 4/5/2022 | A | 220<sup>(2)</sup> A | $0.00 | 1087711 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 6/29/2022 | A | 1189<sup>(2)</sup> A | $0.00 | 1088990 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 9/27/2022 | A | 2129<sup>(2)</sup> A | $0.00 | 1091029 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 12/6/2022 | A | 424<sup>(2)</sup> A | $0.00 | 1091453 D |  |
| COMMON STOCK, PAR VALUE $0.0001 | 12/16/2022 | A | 43353<sup>(2)</sup> A | $0.00 | 1134806 D |  |

---

---

| |
|:---|
| **Explanation of Responses:** |
| 1. The Reporting Person is entitled to an annual equity fee grant from the Issuer of a number of shares of the Issuer's Common Stock equal to 2.5% of the Issuer's fully diluted outstanding capitalization on December 31. These shares were granted by the Issuer to the Reporting Person for the annual equity fee grant. |
| 2. The Issuer is required to grant to the Reporting Person an equity fee in shares of the Issuer's Common Stock equal to 2.5% of the gross amount of any debt or equity financing consummated by the Issuer. These shares were granted by the Issuer to the Reporting Person following the closing of a financing.<br> 3. Effective December 6, 2022, the Issuer effected a one-for-ten reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected in this Exhibit 99 has been adjusted to reflect the Reverse Stock Split.<br> 4. Transfer to employees as service grants in consideration of services provided to the Reporting Person and to Issuer. |

---

### 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>Fortress Biotech, Inc.<br><sub>(Last) (First) (Middle)</sub><br>1111 KANE CONCOURSE SUITE 301<br><sub>(Street)</sub><br>BAY HARBOR ISLANDS, FL 33154<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Checkpoint Therapeutics, Inc. [ CKPT ] | **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, PAR VALUE $0.0001 | 2023-01-05 |  | A |  | 368907<sup>(1)(2)</sup> | A | $0.00 | 1503713<sup>(2)(3)</sup> | D |  |

---

## 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 |
| Class A Common Stock, par value $0.0001 | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 700000<sup>(2)</sup> |  | 700000 | D |  |

---

### Footnotes:

(1) The Reporting Person is entitled to an annual equity fee grant from the issuer of a number of shares of the Issuer's Common Stock equal to 2.5% of the Issuer's fully diluted outstanding capitalization on December 31. These shares were granted by the Issuer to the Reporting Person for the 2022 annual equity fee grant.

(2) Effective December 6, 2022, the Issuer effected a one-for-ten reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

(3) The total number of shares beneficially owned by the Reporting Person includes those transactions as disclosed on the table filed herewith as Exhibit 99.

(4) Each share of the Issuer's Class A Preferred Stock is convertible at any time at the option of the Reporting Person into one share of the Issuer's Common Stock and has no expiration date.

**Signature:** /s/ Samuel Berry, General Counsel and Authorized Agent  
**Date:** 2023-01-06

### 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.**