Statement of Changes in Beneficial Ownership (4)
February 10 2021 - 8:24AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
CALTON SIMON |
2. Issuer Name and Ticker or Trading Symbol
CORETEC GROUP INC.
[
CRTG
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) __X__ Other (specify below)
Co-Chairman |
|
(Last)
(First)
(Middle)
C/O THE CORETEC GROUP INC., 333 JACKSON PLAZA, SUITE 1200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/5/2021 |
|
(Street)
ANN ARBOR, MI 48103
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 2/5/2021 | | S(1) | | 1946 (2) | D | $0.0926 | 11236375 (2) | I | By Carlton James Ltd |
| Common Stock | 2/8/2021 | | S(3) | | 16055 (3) | D | $0.088 | 11220320 (2) | I | By Carlton James Ltd |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | On February 5, 2021, Carlton James Ltd. sold an aggregate of 4,750 shares of common stock in open market transactions at a price per share equal to $0.092625, reducing Mr. Calton's pecuniary interest in the shares held by Carlton James Ltd. by 1,946 shares. |
| (2) | Represents Reporting Person's pecuniary interest in shares sold and held by Carlton James Ltd. |
| (3) | On February 8, 2021, Carlton James Ltd. sold an aggregate of 39,200 shares of common stock in open market transactions at a price per share equal to $0.088037, reducing Mr. Calton's pecuniary interest in the shares held by Carlton James Ltd. by 16,055 shares. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
CALTON SIMON
C/O THE CORETEC GROUP INC.
333 JACKSON PLAZA, SUITE 1200
ANN ARBOR, MI 48103 | X | X |
| Co-Chairman |
Signatures
|
| /s/ Simon Calton | | 2/9/2021 |
| **Signature of Reporting Person | Date |
Coretec (QB) (USOTC:CRTG)
Historical Stock Chart
From Oct 2024 to Nov 2024
Coretec (QB) (USOTC:CRTG)
Historical Stock Chart
From Nov 2023 to Nov 2024
