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BTX Brooklyn ImmunoTherapeutics Inc

9.79
0.00 (0.00%)
27 Dec 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Brooklyn ImmunoTherapeutics Inc AMEX:BTX AMEX Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 9.79 0 00:00:00

Statement of Changes in Beneficial Ownership (4)

06/12/2022 11:52pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Singer Nicholas Jason
2. Issuer Name and Ticker or Trading Symbol

Eterna Therapeutics Inc. [ ERNA ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O ETERNA THERAPEUTICS INC., 10355 SCIENCE CENTER DRIVE, SUITE 150
3. Date of Earliest Transaction (MM/DD/YYYY)

12/2/2022
(Street)

SAN DIEGO, CA 92121
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/2/2022  P  70822 A$3.28 (1)121822 I By Purchase Capital LLC 
Common Stock 12/2/2022  P  212464 A$3.28 (1)266214 I By Pacific Premier Trust, Custodian, FBO Nicholas J. Singer 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Warrants (right to buy) $3.28 (1)12/2/2022  P   141644    6/2/2023 6/2/2028 Common Stock, par value $0.005 per share 141644 $0.125 (1)141644 I By Purchase Capital LLC 
Warrants (right to buy) $3.28 (1)12/2/2022  P   424928    6/2/2023 6/2/2028 Common Stock, par value $0.005 per share 424928 $0.125 (1)424928 I By Pacific Premier Trust, Custodian, FBO Nicholas J. Singer 

Explanation of Responses:
(1) The reporting person entered into a Securities Purchase Agreement with the Issuer on November 23, 2022, pursuant to which, on December 2, 2022, the reporting person acquired an aggregate of 283,286 units for a purchase price of $3.53 per unit, each unit consisting of one share of common stock, par value $0.05 per share ("Common Stock"), and two warrants, each exercisable to purchase one share of Common Stock at an exercise price of $3.28 per share. The purchase price for each unit included $0.125 for each warrant in accordance with Nasdaq rules.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Singer Nicholas Jason
C/O ETERNA THERAPEUTICS INC.
10355 SCIENCE CENTER DRIVE, SUITE 150
SAN DIEGO, CA 92121
X



Signatures
/s/ Nicholas J. Singer12/6/2022
**Signature of Reporting PersonDate


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 control number.

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