Source: https://ir.gtbiopharma.com/all-sec-filings/content/0000939798-19-000002/thirteengheavener.htm
Timestamp: 2019-02-18 09:54:53
Document Index: 563754388

Matched Legal Cases: ['§240', '§240', '§ 240', '§ 240', '§ 240', '§ 240']

36254L 100
CUSIP No. 36254L 100
I.R.S. INDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Heavener, James W
2,182,321**
**Of this amount, 1,156,918 shares are owned outright, 850,269 are available upon conversion of note(s) and 175,134 are available upon exercise of warrants.
3300 University Blvd, Suite 218
[ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
[ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
[ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
[ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
[ ] An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
[ ] An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
[ ] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
[ ] A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).
[ ] A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
Amount beneficially owned: 2,182,321**
(b) Percent of class: 4.3%
Sole power to vote or to direct the vote: 2,182,321**
Sole power to dispose or to direct the disposition of: 2,182,321**
By: /s/ James W Heavener
Name: James W Heavener
Title: N/A (Individual)