Amended Statement of Beneficial Ownership (sc 13d/a)
November 17 2021 - 8:00AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D
Under
the Securities Exchange Act of 1934
(Amendment
No. 2)*
Indaptus
Therapeutics, Inc.
(Name
of Issuer)
Ordinary
Shares, Par Value $0.01 Per Share
(Title
of Class of Securities)
45339J
105
(CUSIP
Number)
Glen
R. Anderson
Anderson
Family Trust
3274
Ross Road
Palo
Alto, CA 94303
+1.650.493.7500
(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.
Glen R. Anderson
|
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, PF
|
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:
113,918
|
8.
|
Shared
Voting Power:
624,174(1)
|
9.
|
Sole
Dispositive Power:
113,918
|
10.
|
Shared
Dispositive Power:
414,322(1)
|
11.
|
Aggregate
Amount Beneficially Owned by Each Reporting Person:
738,092
|
12.
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (see
instructions): [ ]
|
13.
|
Percent
of Class Represented by Amount in Row (11):
9.0%
(2)
|
14.
|
Type
of Reporting Person (See Instructions):
IN
|
(1)
|
Represents
shares registered in the name of the Anderson Family Trust U/A DTD 01/07/2018. Mr. Anderson is a trustee of the Anderson Family Trust
and shares voting and dispositive control with his spouse.
|
(2)
|
Based
on 8,193,579 shares of common stock outstanding as of September 29, 2021.
|
This
Amendment No. 2 to Schedule 13D amends and supplements the Schedule 13D originally filed with the Securities and Exchange Commission
by the Reporting Persons on August 19, 2021 relating to the common stock, par value $0.01 per share of Indaptus Therapeutics, Inc., a
Delaware corporation (“Indaptus”) as amended by the Amendment No. 1 to Schedule 13D filed with the Securities and
Exchange Commission on October 26, 2021 (as amended, the “Schedule 13D”). Except as specifically provided herein,
this Amendment No. 2 does not modify any of the information previously reported on the Schedule 13D. Capitalized terms in this Amendment
No. 2 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, resulting in 8,193,579 shares of common stock outstanding as of that date. After giving effect to the purchases described in this Amendment No. 1, Mr. Anderson owns 9.0% of the outstanding shares of Indaptus common stock on the date of this Amendment No. 2.
(b) Mr. Anderson shares voting and dispositive power, with his spouse, over 624,174 shares of Indaptus common stock registered in the name of the Anderson Family Trust. In addition, Mr. Anderson holds sole voting and dispositive power over 113,918 shares of Indaptus common stock hold in his IRA accounts.
(c) Mr. Anderson has affected the following transactions in Indaptus’ common stock in the past 60 days:
Date
|
|
Shares
|
|
|
Price
|
|
November 5, 2021
|
|
|
26,080
|
|
|
$
|
7.55
|
|
November 4, 2021
|
|
|
64,094
|
|
|
$
|
7.60
|
|
November 3, 2021
|
|
|
38,678
|
|
|
$
|
7,33
|
|
October 28, 2021
|
|
|
34,000
|
|
|
$
|
7.40
|
|
October 27, 2021
|
|
|
47,000
|
|
|
$
|
7.14
|
|
October 20, 2021
|
|
|
23,997
|
|
|
$
|
7.95
|
|
October 19, 2021
|
|
|
14,158
|
|
|
$
|
7.87
|
|
October 18, 2021
|
|
|
24,061
|
|
|
$
|
7.66
|
|
October 15, 2021
|
|
|
26,502
|
|
|
$
|
7.71
|
|
(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:
November 17, 2021
|
|
|
|
|
|
|
By:
|
/s/
Glen R. Anderson
|
|
Name:
|
Glen
R. Anderson
|
Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
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