0001209191-21-030742.txt : 20210506 0001209191-21-030742.hdr.sgml : 20210506 20210506192410 ACCESSION NUMBER: 0001209191-21-030742 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210304 FILED AS OF DATE: 20210506 DATE AS OF CHANGE: 20210506 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Postma Robert W CENTRAL INDEX KEY: 0001827847 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33038 FILM NUMBER: 21899701 MAIL ADDRESS: STREET 1: 141 MECOX ROAD CITY: WATER MILL STATE: NY ZIP: 11976 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZIOPHARM ONCOLOGY 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: ONE FIRST AVENUE STREET 2: PARRIS BUILDING 34, NAVY YARD PLAZA CITY: BOSTON STATE: MA ZIP: 02129 BUSINESS PHONE: 617-259-1970 MAIL ADDRESS: STREET 1: ONE FIRST AVENUE STREET 2: PARRIS BUILDING 34, NAVY YARD PLAZA CITY: BOSTON STATE: MA ZIP: 02129 FORMER COMPANY: FORMER CONFORMED NAME: EASYWEB INC DATE OF NAME CHANGE: 20010213 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-03-04 0 0001107421 ZIOPHARM ONCOLOGY INC ZIOP 0001827847 Postma Robert W C/O ZIOPHARM ONCOLOGY, INC. ONE FIRST AVENUE, PARRIS BLDG 34 BOSTON MA 02129 1 0 0 0 Common Stock 2021-03-04 4 A 0 2500 0.00 A 1181362 D Common Stock 4195508 I See footnote Common Stock 3574 I By Spouse's IRA Stock Option (right to buy) 4.31 2021-03-04 4 A 0 18750 0.00 A 2031-03-03 Common Stock 18750 18750 D Stock Option (right to buy) 4.31 2021-03-04 4 A 0 150000 0.00 A 2031-03-03 Common Stock 150000 150000 D The shares will vest on 5/19/2021. Includes 946,970 shares of common stock underlying the Units. The Reporting Person purchased 946,970 units of the Issuer (the "Units") for $2.64 per Unit in a private placement transaction with the Issuer. Each Unit consists of one share of common stock and a warrant to acquire one share of common stock. The shares are directly held by WaterMill Asset Management Corp. ("WaterMill"). The Reporting Person serves as the principal of WaterMill. 1/3rd of the shares underlying this option will vest on 4/4/2021, 5/4/2021 and 5/19/2021. 1/36th of the shares underlying this option will vest in equal monthly installments commencing one month period after 12/15/2020. /s/ Robert Hadfield, Attorney-in-Fact 2021-05-06