0000899243-22-037274.txt : 20221201 0000899243-22-037274.hdr.sgml : 20221201 20221201160515 ACCESSION NUMBER: 0000899243-22-037274 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221129 FILED AS OF DATE: 20221201 DATE AS OF CHANGE: 20221201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vieser Jaime CENTRAL INDEX KEY: 0001846045 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33038 FILM NUMBER: 221438855 MAIL ADDRESS: STREET 1: ONE FIRST AVENUE, PARRIS BUILDING 34 STREET 2: NAVY YARD PLAZA CITY: BOSTON STATE: MA ZIP: 02129 FORMER NAME: FORMER CONFORMED NAME: Vieser Jamie DATE OF NAME CHANGE: 20210212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alaunos Therapeutics, Inc. CENTRAL INDEX KEY: 0001107421 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 841475642 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8030 EL RIO STREET CITY: HOUSTON STATE: TX ZIP: 77054 BUSINESS PHONE: (346) 355-4099 MAIL ADDRESS: STREET 1: 8030 EL RIO STREET CITY: HOUSTON STATE: TX ZIP: 77054 FORMER COMPANY: FORMER CONFORMED NAME: ZIOPHARM ONCOLOGY INC DATE OF NAME CHANGE: 20050919 FORMER COMPANY: FORMER CONFORMED NAME: EASYWEB INC DATE OF NAME CHANGE: 20010213 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-11-29 0 0001107421 Alaunos Therapeutics, Inc. TCRT 0001846045 Vieser Jaime C/O ALAUNOS THERAPEUTICS, INC. 8030 EL RIO ST. HOUSTON TX 77054 1 0 0 0 Common Stock 2022-11-29 4 P 0 1250000 0.65 A 1250000 I By Brushwood LLC Common Stock 745321 D Common Stock 100000 I By UTMA for child Common Stock 75000 I By UTMA for child Common Stock 75000 I By UTMA for child Common Stock 75000 I By UTMA for child The shares are directly held by Brushwood LLC. The Reporting Person is the Manager of Brushwood LLC. The shares were purchased in a registered underwritten offering on November 29, 2022. Exhibit List - Exhibit 24 - Power of Attorney /s/ Melinda Lackey, Attorney-in-Fact 2022-12-01 EX-24 2 attachment1.htm EX-24 DOCUMENT
                                                                      Exhibit 24
                               Power of Attorney

         Know all by these presents, that the undersigned hereby makes,
constitutes and appoints each of Melinda Lackey and Michael Wong, or either of
them acting singly, and with full power of substitution and re-substitution,
the undersigned's true and lawful attorney-in-fact (each of such persons and
their substitutes being referred to herein as the "Attorney-in-Fact"), with full
power to act for the undersigned and in the undersigned's name, place and stead,
in any and all capacities, to:

   1.    Prepare, execute, and submit to the Securities and Exchange Commission
      ("SEC") a Form ID, including amendments thereto, and any other documents
       necessary or appropriate to obtain codes and passwords enabling the
       undersigned to make electronic filings with the SEC of reports required
       or considered by the Attorney-in-Fact to be advisable under Section 13 or
       Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act") or
       any rule or regulation of the SEC;

   2.    Prepare, execute and submit to the SEC, Alaunos Therapeutics, Inc.
      (including any successor or assign, the "Company"), and/or any national
      securities exchange on which the Company's securities are listed any and
      all reports (including any amendments thereto) the undersigned is required
      to file with the SEC, or which the Attorney-in-Fact considers it advisable
      to file with the SEC, under Section 13 or Section 16 of the Exchange Act
      or any rule or regulation thereunder, or under Rule 144 under the
      Securities Act of 1933 ("Rule 144"), with respect to the any security of
      the Company, including Forms 3, 4 and 5, Schedules 13D and 13G, and Forms
      144; and

   3.    Obtain, as the undersigned's representative and on the undersigned's
      behalf, information regarding transactions in the Company's equity
      securities from any third party, including the Company and any brokers,
      dealers, employee benefit plan administrators and trustees, and the
      undersigned hereby authorizes any such third party to release any such
      information to the Attorney-in-Fact.

     The undersigned acknowledges that:

         a)     This Power of Attorney authorizes, but does not require, the
             Attorney-in-Fact to act in his or her discretion on information
             provided to such Attorney-in-Fact without independent verification
             of such information;

        b)     Any documents prepared or executed by the Attorney-in-Fact on
            behalf of the undersigned pursuant to this Power of Attorney will be
            in such form and will contain such information as the
            Attorney-in-Fact, in his or her discretion, deems necessary or
            desirable;

        c)     Neither the Company nor the Attorney-in-Fact assumes any
            liability for the undersigned's responsibility to comply with the
            requirements of Section 13 or Section 16 of the Exchange Act or Rule
            144, any liability of the undersigned for any failure to comply with
            such requirements, or any liability of the undersigned for
            disgorgement of profits under Section 16(b) of the Exchange Act; and

       d)      This Power of Attorney does not relieve the undersigned from
            responsibility for compliance with the undersigned's obligations
            under Section 13 or Section 16 of the Exchange Act, including,
            without limitation, the reporting requirements under Section 13 or
            Section 16 of the Exchange Act.

     The undersigned hereby grants to the Attorney-in-Fact full power and
authority to do and perform each and every act and thing requisite, necessary or
advisable to be done in connection with the foregoing, as fully, to all intents
and purposes, as the undersigned might or could do in person, hereby ratifying
and confirming all that the Attorney-in-Fact, or his or her substitute or
substitutes, shall lawfully do or cause to be done by authority of this Power of
Attorney.

     This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 4 or 5 or Schedules 13D or 13G
or Forms 144 with respect to the undersigned's holdings of and transactions in
securities of the Company, unless earlier revoked by the undersigned in a signed
writing delivered to the Attorney-in-Fact. This Power of Attorney revokes all
previous powers of attorney with respect to the subject matter of this Power of
Attorney.

     The signature may be delivered via facsimile, electronic mail (including
any electronic signature covered by the U.S. federal ESIGN Act of 2000, Uniform
Electronic Transactions Act, the Electronic Signatures and Records Act or other
applicable law, e.g., www.docusign.com) or other transmission method and any
signature so delivered shall be deemed to have been duly and validly delivered
and be valid and effective for all purposes.

     IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney as
of June 27, 2022.

                                                 Jaime Vieser

                                                 /s/ Jaime Vieser
                                                ------------------
                                                     Signature