SEC FORM
3
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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| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| C/O ALAUNOS THERAPEUTICS, INC. |
| 8030 EL RIO ST. |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
03/30/2023
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3. Issuer Name and Ticker or Trading Symbol
Alaunos Therapeutics, Inc.
[ TCRT ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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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 |
| Explanation of Responses: |
| Remarks: |
|
| No securities are beneficially owned. |
|
/s/ Melinda Lackey, Attorney-in-Fact |
04/19/2023 |
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** 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. |
Power of Attorney
Know all by these presents, that the undersigned hereby makes,
constitutes and appoints each of Melinda Lackey and Michael Wong, or either of
them acting singly, and with full power of substitution and re-substitution,
the undersigned's true and lawful attorney-in-fact (each of such persons and
their substitutes being referred to herein as the "Attorney-in-Fact"), with
full power to act for the undersigned and in the undersigned's name, place and
stead, in any and all capacities, to:
1. Prepare, execute, and submit to the Securities and Exchange
Commission ("SEC") a Form ID, including amendments thereto, and any
other documents necessary or appropriate to obtain codes and
passwords enabling the undersigned to make electronic filings with
the SEC of reports required or considered by the Attorney-in-Fact
to be advisable under Section 13 or Section 16 of the Securities
Exchange Act of 1934 (the "Exchange Act") or any rule or regulation
of the SEC;
2. Prepare, execute and submit to the SEC, Alaunos Therapeutics, Inc.
(including any successor or assign, the "Company"), and/or any
national securities exchange on which the Company's securities are
listed any and all reports (including any amendments thereto) the
undersigned is required to file with the SEC, or which the
Attorney-in-Fact considers it advisable to file with the SEC, under
Section 13 or Section 16 of the Exchange Act or any rule or
regulation thereunder, or under Rule 144 under the Securities Act
of 1933 ("Rule 144"), with respect to the any security of the
Company, including Forms 3, 4 and 5, Schedules 13D and 13G, and
Forms 144; and
3. Obtain, as the undersigned's representative and on the
undersigned's behalf, information regarding transactions in the
Company's equity securities from any third party, including the
Company and any brokers, dealers, employee benefit plan
administrators and trustees, and the undersigned hereby authorizes
any such third party to release any such information to the
Attorney-in-Fact.
The undersigned acknowledges that:
a) This Power of Attorney authorizes, but does not require, the
Attorney-in-Fact to act in his or her discretion on information
provided to such Attorney-in-Fact without independent
verification of such information;
b) Any documents prepared or executed by the Attorney-in-Fact on
behalf of the undersigned pursuant to this Power of Attorney
will be in such form and will contain such information as the
Attorney-in-Fact, in his or her discretion, deems necessary or
desirable;
c) Neither the Company nor the Attorney-in-Fact assumes any
liability for the undersigned's responsibility to comply with
the requirements of Section 13 or Section 16 of the Exchange
Act or Rule 144, any liability of the undersigned for any
failure to comply with such requirements, or any liability of
the undersigned for disgorgement of profits under Section 16(b)
of the Exchange Act; and
d) This Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's
obligations under Section 13 or Section 16 of the Exchange Act,
including, without limitation, the reporting requirements under
Section 13 or Section 16 of the Exchange Act.
The undersigned hereby grants to the Attorney-in-Fact full power and
authority to do and perform each and every act and thing requisite, necessary
or advisable to be done in connection with the foregoing, as fully, to all
intents and purposes, as the undersigned might or could do in person, hereby
ratifying and confirming all that the Attorney-in-Fact, or his or her
substitute or substitutes, shall lawfully do or cause to be done by authority
of this Power of Attorney.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 4 or 5 or Schedules 13D or 13G
or Forms 144 with respect to the undersigned's holdings of and transactions in
securities of the Company, unless earlier revoked by the undersigned in a
signed writing delivered to the Attorney-in-Fact. This Power of Attorney
revokes all previous powers of attorney with respect to the subject matter of
this Power of Attorney.
The signature may be delivered via facsimile, electronic mail
(including any electronic signature covered by the U.S. federal ESIGN Act of
2000, Uniform Electronic Transactions Act, the Electronic Signatures and
Records Act or other applicable law, e.g., www.docusign.com) or other
transmission method and any signature so delivered shall be deemed to have been
duly and validly delivered and be valid and effective for all purposes.
IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney
as of March 29, 2023.
Robert Hofmeister
/s/ Robert Hofmeister
----------------------------
Signature
