0001104659-22-053625.txt : 20220429 0001104659-22-053625.hdr.sgml : 20220429 20220429162652 ACCESSION NUMBER: 0001104659-22-053625 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210805 FILED AS OF DATE: 20220429 DATE AS OF CHANGE: 20220429 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Klein Dov CENTRAL INDEX KEY: 0001647971 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35366 FILM NUMBER: 22876029 MAIL ADDRESS: STREET 1: C/O FORTRESS BIOTECH, INC. STREET 2: 3 COLUMBUS CIRCLE, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Fortress Biotech, Inc. CENTRAL INDEX KEY: 0001429260 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 205157386 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1111 KANE CONCOURSE STREET 2: SUITE 301 CITY: BAY HARBOR ISLANDS STATE: FL ZIP: 33154 BUSINESS PHONE: 781-652-4500 MAIL ADDRESS: STREET 1: 1111 KANE CONCOURSE STREET 2: SUITE 301 CITY: BAY HARBOR ISLANDS STATE: FL ZIP: 33154 FORMER COMPANY: FORMER CONFORMED NAME: CORONADO BIOSCIENCES INC DATE OF NAME CHANGE: 20080310 4 1 tm2213913-10_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-08-05 0 0001429260 Fortress Biotech, Inc. FBIO 0001647971 Klein Dov C/O FORTRESS BIOTECH, INC. 1111 KANE CONCOURSE SUITE 301 BAY HARBOR ISLAND FL 33154 1 0 0 0 Common Stock, par value $0.001 2021-08-05 4 J 0 305 0 A 655305 D Common Stock, par value $0.001 2021-09-30 4 J 0 480 0 A 655785 D Common Stock, par value $0.001 2021-11-16 4 J 0 230 0 A 656015 D Common Stock, par value $0.001 2021-12-28 4 S 0 5000 2.45 D 651015 D Common Stock, par value $0.001 2022-01-01 4 A 0 100000 0 A 751015 D The shares were issued as a dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey Medical Corporation's 8% Cumulative Convertible Class A Preferred Stock. The total holdings include 480,000 shares of deferred restricted stock and 40,000 shares underlying deferred restricted stock units. The shares were issued upon the consummation of Journey Medical Corporation ("Journey's") initial public offering as a partial dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey's 8% Cumulative Convertible Class A Preferred Stock. One-third of the shares will vest on each of January 1, 2023, 2024 and 2025, subject to continued service. The reporting person elected to defer 80,000 of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. The total holdings include 560,000 shares of deferred restricted stock and 40,000 shares underlying deferred restricted stock units. /s/ Samuel Berry, Attorney-in-Fact 2022-04-29