0001144204-18-059191.txt : 20181113 0001144204-18-059191.hdr.sgml : 20181113 20181113122334 ACCESSION NUMBER: 0001144204-18-059191 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181107 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38128 FILM NUMBER: 181176648 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 FORMER NAME: FORMER CONFORMED NAME: ROSENWALD LINDSAY MD DATE OF NAME CHANGE: 19950316 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Checkpoint Therapeutics, Inc. CENTRAL INDEX KEY: 0001651407 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 472568632 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2 GANSEVOORT STREET STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 212-554-4366 MAIL ADDRESS: STREET 1: 2 GANSEVOORT STREET STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 4 1 tv507113_4.xml OWNERSHIP DOCUMENT X0306 4 2018-11-07 0 0001651407 Checkpoint Therapeutics, Inc. CKPT 0000941841 ROSENWALD LINDSAY A MD 2 GANSEVOORT STREET, 9TH FLOOR NEW YORK NY 10014 1 0 0 0 COMMON STOCK 2018-11-07 4 P 0 2100 2.12 A 28548 D COMMON STOCK 2018-11-08 4 P 0 48234 2.24 A 76782 D COMMON STOCK 2018-11-09 4 P 0 49666 2.35 A 126448 D Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The range of prices for the sale transactions on November 7, 2018, was $2.05 to $2.26, the range of prices for the sale transactions on November 8, 2018, was $2.19 to $2.34, and the range of prices for the sale transactions on November 9, 2018, was $2.30 to $2.44. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Includes restricted stock units which vest over various time periods, subject to Dr. Rosenwald's continued service on the board on such date. /s/ James F. Oliviero, Attorney-in-Fact 2018-11-13