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