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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 02/07/2020 | 3. Issuer Name and Ticker or Trading Symbol ONCOSEC MEDICAL Inc [ ONCS ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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 | 12,000,000 | I | See Footnote(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. On October 10, 2019, OncoSec Medical Incorporated (the "Issuer") entered into Stock Purchase Agreements with each of Grand Decade Developments Limited ("Grand Decade"), a wholly owned subsidiary of China Grand Pharmaceutical and Healthcare Holdings Limited ("CGP"), (the "CGP Purchase Agreement") and Sirtex Medical US Holdings, Inc., an affiliate of CGP ("Sirtex"), (the "Sirtex Purchase Agreement", and together with the CGP Purchase Agreement, the "Purchase Agreements"). On February 7, 2020, the transactions set forth in the Purchase Agreements were consummated. Pursuant to the terms of the Purchase Agreements and for consideration paid by the Reporting Persons, the Issuer directly issued to Grand Decade and Sirtex 10,000,000 shares and 2,000,000 shares, respectively, of the Issuer's Common Stock. |
Remarks: |
The Reporting Persons may be deemed to be members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of any securities deemed to be owned by the group that are not directly owned by the Reporting Person. This report shall not be deemed an admission that such Reporting Person is a member of a group or the beneficial owner of any securities not directly owned by such Reporting Person. Exhibit List: Ex. 24.1 - Power of Attorney |
/s/ Caterina Benson by Power of Attorney for China Grand Pharmaceutical and Healthcare Holdings Limited | 02/18/2020 | |
/s/ Caterina Benson by Power of Attorney for Sirtex Medical US Holdings, Inc. | 02/18/2020 | |
** 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. | ||
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. |