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GALECTIN THERAPEUTICS INC — Director's Dealing 2017
May 1, 2017
33422_dirs_2017-05-01_4bfd81af-4e96-47bf-91ef-f08a921411d0.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: GALECTIN THERAPEUTICS INC (GALT)
CIK: 0001133416
Period of Report: 2017-04-23
Reporting Person: Uihlein Richard E (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2509909 | Direct |
| Common Stock | 20000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock Purchase Warrant (right to buy) | $5.00 | 2023-12-22 | Common Stock (1466204) | Direct | |
| Series C Super Dividend Convertible Preferred Stock | $6.00 | Common Stock (83333) | Direct |
Footnotes
F1: The reporting person is president and director of Ed Uihein Family Foundation, a not-for-profit corporation. The reportion person has no pecuniary interest in the shares, however, he shares voting and dispositive power over the shares and, therefore, remains the beneficial owner of the shares solely for purposes of Section 13(d) of the Securities Exchange Act of 1934.
F2: The conversion rights for the Series C Super Dividend Convertible Preferred Stock do not expire.
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