Ownership / OS Therapies Incorporated | Tables in SEC filings

OSTX OS Therapies Incorporated

IPO registration

Table of Contents

Name of Stockholder	Common Shares Beneficially Owned Before Offering			No. of Common Shares issuable upon conversion of Series A Preferred Stock	No. of Common Shares issuable upon exercise of Warrants	Maximum No. of Common Shares offered hereby(1)	Common Shares Beneficially Owned After Offering
Name of Stockholder	No.(2)	%(2)			No. of Common Shares issuable upon exercise of Warrants	Maximum No. of Common Shares offered hereby(1)	No.(2)	%(2)
Kevin J. Hendricks	69,129	*		81,250	81,250	487,500	69,129	*
Larry Pickett	114,838	*		12,500	12,500	75,000	114,838	*
Larry Tubbs	233,300	1.06	%	62,500	62,500	375,000	233,300	1.06	%
Lars Bader	571,816	2.61	%	186,250	186,250	1,117,500	571,816	2.61	%
LTD III LLC(13)	46,742	*		12,500	12,500	75,000	46,742	*
Peter Hegel	46,742	*		5,000	5,000	30,000	46,742	*
Rohlinger Family Living Trust(14)	—	*		12,500	12,500	75,000	—	*
Scott C. Rooney	278,057	1.27	%	25,000	25,000	150,000	278,057	1.27	%
Steven D. Ward	93,946	*		6,250	6,250	37,500	93,946	*
A.G. Family L.P.(15)	112,500	*		81,250	81,250	487,500	112,500	*
Thomas A. Satterfield 2021 Revocable Trust(16)	50,000	*		25,000	25,000	150,000	50,000	*
Tomsat Investment & Trading Co., Inc.(17)	41,655	*		50,000	50,000	300,000	41,655	*
George Pontikes	231,241	1.05	%	18,750	18,750	112,500	231,241	1.05	%
Shoup Revocable Trust(18)	—	*		14,500	14,500	87,000	—
John Sabey	3,000	*		12,500	12,500	75,000	3,000	*
Ahmed Gheith(19)(23)	65,817	*		6,250	13,226	58,428	65,817	*
Edgar D. Jannotta, Jr. Revocable Trust(20)	—	*		100,000	100,000	600,000	—
Tichenor Ventures, LLC(21)	947,727	4.32	%	31,250	31,250	187,500	947,727	4.32	%
Stephen D’Antonio	—	*		25,000	25,000	150,000	—
Michael Fontaine(23)	—	*			2,910	8,730	—	*
Madockawando Holdings, LLC(22)(23)	—	*			14,651	43,953	—	*
Harris Lydon(23)	—	*			4,649	13,947	—	*
Scott Katzmann(23)	—	*			2,649	7,947	—	*
Graham Powis(23)	—	*			2,161	6,483	—	*
Patrick Sturgeon(23)	—	*			1,220	3,660	—	*
Samuel Wertheimer(23)	—	*			3,678	11,034	—	*
Charles Mather(23)	—	*			5,000	15,000	—	*
Hayden Edwards(23)	—	*			3,000	9,000	—	*
Joseph Hain(23)(24)	50,496	*			6,975	20,925	50,496	*
Mark Goldwasser(23)	—	*			2,990	8,970	—	*
Christopher Dewey(23)	—	*			2,989	8,967	—	*

Beneficial Owner	Amount and Nature of Beneficial Ownership	Percent of Class
Executive Officers and Directors
Paul A. Romness, MPH(1)	2,248,000	10.25	%
Robert G. Petit, Ph.D.(2)	200,000	*
Christopher P. Acevedo(3)	109,375	*
John Ciccio(4)	237,917	1.08	%
Avril McKean Dieser	2,500	*
Karim Galzahr	—	—
Olivier R. Jarry	—	—
Theodore F. Search, Pharm.D.(5)	237,918	1.08	%
5% Beneficial Owners
Shalom Auerbach(6)	2,554,582	11.65	%
All directors and executive officers as a group (8 persons)	3,035,710	13.80	%

	September 30,
(In thousands)	2024		2023
Cash used in operating activities	$	(4,908)	$	(2,135)
Cash provided by investing activities		—		1
Cash provided by financing activities		6,727		1,979
Net increase (decrease) in cash	$	1,819	$	(155)

Milestone	Milestone Payment
1. OST has secured funding of at least $2,337,500, in the aggregate (paid)		License commencement payment:
	$	1,550,000
2. The earlier to occur of: (A) OST having secured at least $8,000,000, in the aggregate, or (B) completion of the first Clinical Trial (paid)	$	1,375,000
3. The earlier to occur of: (A) receipt of Regulatory Approval from the FDA for the First Indication of the first Licensed Product or (B) initiation of the first Registrational Trial of the first Licensed Product in the Field	$	5,000,000
4. Cumulative Net Sales of all Licensed Products in excess of $20,000,000	$	1,500,000
5. Cumulative Net Sales of all Licensed Products in excess of $50,000,000 Cumulative Net Sales of all Licensed Products	$	5,000,000
6. Cumulative Net Sales of all Licensed Products in excess of $100,000,000	$	10,000,000

Common Stock Equivalents	September 30, 2024 (unaudited)	December 31, 2023
Convertible Debt	—	11,034,773
Make-Whole Liability	32,500	32,500
Warrants	621,691	604,282
Preferred Stock	—	651,041
Total	654,191	12,322,596

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