GT Biopharma, Inc. — Director's Dealing 2021

Nov 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: GT Biopharma, Inc. (GTBP)
CIK: 0000109657
Period of Report: 2021-02-16

Reporting Person: Breen Michael Martin (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-16	Common Stock	A	278058	$0.00	Acquired	278058	Direct
2021-02-25	Common Stock	C	40243	$3.40	Acquired	318301	Direct
2021-02-25	Common Stock	C	9859	$3.40	Acquired	328160	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-16	Option to purchase Common Stock	$6.33	A	50000	Acquired	2031-02-15	Common Stock (50000)	Direct
2021-02-25	10% Senior Convertible Debenture	$3.40	C	100000	Disposed		Common Stock (40243)	Direct
2021-02-25	10% Senior Convertible Debenture	$3.40	C	30000	Disposed	2021-06-23	Common Stock (9859)	Direct

Footnotes

F1: Represents a grant of shares of restricted stock ("RSAs"). 1/3rd of the RSAs vest on January 13, 2021, 2022 and 2023.

F2: 1/3rd of the shares vest on February 16, 2021, 2022 and 2023.

F3: While the maturity date of the Debenture was September 7, 2019, the Registrant did not repay the
Debenture on the maturity date and the Debenture remained outstanding until converted.