John D. Halpern - 02 Dec 2022 Form 4 Insider Report for Eterna Therapeutics Inc. (ERNA)

Role
10%+ Owner
Signature
/s/ John D. Halpern
Issuer symbol
ERNA
Transactions as of
02 Dec 2022
Net transactions value
+$1,185,798
Form type
4
Filing time
05 Dec 2022, 17:05:45 UTC
Previous filing
19 May 2021
Next filing
08 Jan 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ERNA Common Stock Purchase $1,101,818 +335,920 +292% $3.28 450,961 02 Dec 2022 As trustee of family trust F1, F3, F4
holding ERNA Common Stock 205 02 Dec 2022 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ERNA Warrants (Right to Purchase) Purchase $83,980 +671,840 $0.1250* 671,840 02 Dec 2022 Common Stock 671,840 $3.28 As trustee of family trust F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

John D. Halpern is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Reflects a 1-for-20 reverse stock split effective October 17, 2022.
F2 Held by John D. Halpern
F3 Each share was purchased as part of a unit consisting of one share and two warrants, for a total purchase price of $3.53 per unit.
F4 The reporting persons disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any.
F5 The exercisability of the Warrants is subject to a 9.99% beneficial ownership limitation.