0001209191-21-036323.txt : 20210527 0001209191-21-036323.hdr.sgml : 20210527 20210527180645 ACCESSION NUMBER: 0001209191-21-036323 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210525 FILED AS OF DATE: 20210527 DATE AS OF CHANGE: 20210527 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Krishnan Rajesh CENTRAL INDEX KEY: 0001864793 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50549 FILM NUMBER: 21974757 MAIL ADDRESS: STREET 1: 12230 EL CAMINO STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Oncternal Therapeutics, Inc. CENTRAL INDEX KEY: 0001260990 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 621715807 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12230 EL CAMINO REAL STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 434-1113 MAIL ADDRESS: STREET 1: 12230 EL CAMINO REAL STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92130 FORMER COMPANY: FORMER CONFORMED NAME: GTX INC /DE/ DATE OF NAME CHANGE: 20030822 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2021-05-25 0 0001260990 Oncternal Therapeutics, Inc. ONCT 0001864793 Krishnan Rajesh 12230 EL CAMINO REAL, SUITE 300 SAN DIEGO CA 92130 0 1 0 0 Chief Technology Officer Stock Options 4.30 2029-08-12 Common Stock 75000 D Stock Options 5.76 2029-09-12 Common Stock 40000 D Stock Options 3.33 2030-03-17 Common Stock 12470 D Stock Options 4.59 2031-01-06 Common Stock 160000 D One quarter of the shares subject to the stock options vested on August 12, 2020, and the remaining shares subject to the option vest in 36 equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment or service with the Issuer on each such date. One quarter of the shares subject to the stock options vested on September 12, 2020, and the remaining shares subject to the option vest in 36 equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment or service with the Issuer on each such date. Shares subject to the stock options vested in full on March 17, 2020. One quarter of the shares subject to the stock options vest on January 6, 2022, and the remaining shares subject to the option vest in 36 equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment or service with the Issuer on each such date. Exhibit 24 - Power of Attorney /s/Chase C. Leavitt, Attorney-in-fact 2021-05-27 EX-24.3_988686 2 poa.txt POA DOCUMENT POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints the Chief Financial Officer of Oncternal Therapeutics, Inc., a Delaware corporation (the "Company"), who is currently Richard Vincent, and the General Counsel of the Company, who is currently Chase Leavitt, and their respective successors, signing singly, the undersigneds true and lawful attorney-in-fact to: (1) prepare, execute in the undersigneds name and on the undersigneds behalf, and submit to the U.S. Securities and Exchange Commission (the "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 by Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder (the "Exchange Act") or any rule or regulation of the SEC; (2) execute for and on behalf of the undersigned, in the undersigneds capacity as an officer and/or director of the Company and/or beneficial owner of more than 10% of the Companys capital stock, Forms 3, 4, and 5 and any amendments thereto in accordance with Section 16(a) of the Exchange Act; (3) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and (4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-facts discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-facts substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigneds responsibilities to comply with Section 16 of the Exchange Act. The undersigned agrees that each such attorney-in-fact herein may rely entirely on information furnished orally or in writing by the undersigned to such attorney-in-fact. The undersigned also agrees to indemnify and hold harmless the Company and each such attorney-in-fact against an losses, claims, damages or liabilities (or actions in these reports) that arise out of or are based upon any untrue statements or omission of necessary facts in the information provided by the undersigned to such attorney-in-fact for purposes of executing, acknowledging, delivering or filing Forms 3, 4 or 5 (including amendments thereto) or Form ID and agrees to reimburse the Company and such attorney-in-fact for any legal or other expenses reasonably incurred in connection with investigating or defending against any such loss, claim, damage, liability or action. This Power of Attorney supersedes any power of attorney previously executed by the undersigned regarding the purposes outlined in the first paragraph hereof ("Prior Powers of Attorney"), and the authority of the attorney-in-fact named in any Prior Powers of Attorney is hereby revoked. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigneds holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 25th day of May, 2021. Name: Rajesh Krishnan, Ph.D.