Amended Statement of Beneficial Ownership (sc 13d/a)
October 26 2021 - 4:18PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D/A
Under
the Securities Exchange Act of 1934
(Amendment
No. 1)*
Indaptus
Therapeutics, Inc.
(Name
of Issuer)
Ordinary
Shares, Par Value $0.01 Per Share
(Title
of Class of Securities)
45339J
105
(CUSIP
Number)
Michael
J. Newman
c/o
Indaptus Therapeutics, Inc.
3
Columbus Circle, 15th Floor
New
York, NY 10019
+1.858.492.0485
(Name,
Address and Telephone Number of Person
Authorized
to Receive Notices and Communications)
September
29, 2021
(Date
of Event which Requires Filing of this Statement)
If
the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D,
and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐
*The
remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover
page.
The
information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18
of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP
No. G3728V 109
1.
|
Names of Reporting Person.
Michael J. Newman, Ph.D.
|
2.
|
Check the Appropriate Box if a Member of a Group
(See Instructions):
(a)
[ ]
(b)
[ ]
|
3.
|
SEC Use Only:
|
4.
|
Source of Funds (See Instructions):
SC
|
5.
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): [ ]
|
6.
|
Citizenship or Place of Organization:
United
States
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person with
|
7.
|
Sole Voting Power:
1,361,524
|
8.
|
Shared Voting Power:
26,832(1)
|
9.
|
Sole Dispositive Power:
1,361,524
|
10.
|
Shared Dispositive Power:
26,832(1)
|
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person:
1,388,356
|
12.
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see
instructions): [ ]
|
13.
|
Percent of Class Represented by Amount in Row (11):
16.9%
(2)
|
14.
|
Type of Reporting Person (See Instructions):
IN
|
(1)
|
Represents
shares registered in the name of Dr. Newman’s spouse.
|
|
|
(2)
|
Based on 8,193,579 shares of common stock outstanding as
of the date of this report.
|
This
Amendment No. 1 to Schedule 13D amends and supplements the Schedule 13D originally filed with the Securities and Exchange Commission
by the Reporting Person on August 13, 2021 relating to the common stock, par value $0.01 per share of Indaptus Therapeutics, Inc., a
Delaware corporation (“Indaptus”). Except as specifically provided herein, this Amendment No. 1 does not modify any
of the information previously reported on the Schedule 13D. Capitalized terms in this Amendment No. 1 shall have the meanings ascribed
to them in the Schedule 13D.
Item
5. Interest in Securities of the Issuer.
(a)
On September 29, 2021, 2,727,273 pre-funded warrants to purchase common stock of Indaptus were exercised, As of the date of this report
there are 8,193,579 shares of Indaptus common stock outstanding. Accordingly, Dr. Newman beneficially owned
16.9% of the outstanding shares of Indaptus common stock on the date of this Amendment No. 1.
(b)
Dr. Newman has sole voting and dispositive power over 1,361,524 shares of Indaptus common stock registered in his name. In addition,
Dr. Newman may be deemed to hold shared voting and dispositive power over 26,832 shares of Indaptus common stock registered in the name
of his spouse.
(c)
Dr. Newman did not affect any transactions in Indaptus’ common stock in the past 60 days.
(d)
Not applicable.
(e)
Not applicable.
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
Date:
October 26, 2021
|
|
|
|
|
|
By:
|
/s/ Michael
J. Newman
|
|
Name:
|
Michael
J. Newman
|
Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations
(See
18 U.S.C. 1001)
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