0001493152-23-038573.txt : 20231027
0001493152-23-038573.hdr.sgml : 20231027
20231027200008
ACCESSION NUMBER: 0001493152-23-038573
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231027
FILED AS OF DATE: 20231027
DATE AS OF CHANGE: 20231027
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mohan Pankaj
CENTRAL INDEX KEY: 0001664386
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35570
FILM NUMBER: 231356943
MAIL ADDRESS:
STREET 1: C/O SONNET BIOTHERAPEUTICS HOLDINGS, INC
STREET 2: 100 OVERLOOK CENTER
CITY: PRINCETON
STATE: NJ
ZIP: 08540
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sonnet BioTherapeutics Holdings, Inc.
CENTRAL INDEX KEY: 0001106838
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 522102141
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 100 OVERLOOK CENTER
STREET 2: SUITE 102
CITY: PRINCETON
STATE: NJ
ZIP: 08540
BUSINESS PHONE: 609-375-2227
MAIL ADDRESS:
STREET 1: 100 OVERLOOK CENTER
STREET 2: SUITE 102
CITY: PRINCETON
STATE: NJ
ZIP: 08540
FORMER COMPANY:
FORMER CONFORMED NAME: Chanticleer Holdings, Inc.
DATE OF NAME CHANGE: 20050510
FORMER COMPANY:
FORMER CONFORMED NAME: TULVINE SYSTEMS INC
DATE OF NAME CHANGE: 20000214
4
1
ownership.xml
X0508
4
2023-10-27
0
0001106838
Sonnet BioTherapeutics Holdings, Inc.
SONN
0001664386
Mohan Pankaj
100 OVERLOOK CENTER,
SUITE 102
PRINCETON,
NJ
08540
1
1
0
0
Chairman, President and CEO
0
Common Stock
2023-10-27
4
P
0
34375
A
59526
D
Common Stock
25
I
By Child
Common Stock
3021
I
By Mohan Family Office
Warrant to Purchase Common Stock
1.60
2023-10-27
4
P
0
68750
A
2023-10-27
2028-10-27
Common Stock
68750
68750
D
Reporting Person purchased 34,375 shares of common stock and 68,750 warrants to purchase 68,750 shares of common stock pursuant to an underwritten public offering by the Issuer at $1.60 per share and accompanying two warrants. The offering closed on October 27, 2023.
Includes unvested restricted stock units.
All amounts reflect the 1:22 reverse stock split effective as of August 31, 2023.
Reporting Person jointly exercises dispositive and voting power over the securities owned by the Mohan Family Office.
/s/ John Harry Cross III, power of attorney
2023-10-27