SEC Comment Letter for GT Biopharma, Inc. (GTBP) (CIK 0000109657) (GTBP) — Apr 20, 2017
GT Biopharma, Inc. (GTBP) (CIK 0000109657)
Date: April 20, 2017 · CIK: 0000109657 · Accession: 0000000000-17-013706
AI Filing Summary & Sentiment
Reasoning
Letter
Mail Stop 4546 April 20, 2017 Anthony J. Cataldo Chairman and CEO Oxis International, Inc. 100 South Ashley Drive, Suite 600 Tampa, Florida 33602
Re: Oxis International, Inc. Revised Preliminary Information Statement on Schedule 14C Filed April 14 , 2017 File No. 000 -08092
Dear Mr. Cataldo :
We have limited our review of your filing to those issues we have addressed in our comment.
Please respond to the comment within ten business days by providing the requested information or advise us as soon as p ossible when you will respond. If you do not believe our comment appl ies to your facts and circumstances, please tell us why in your response.
After reviewing your response to the comment , we may have additional comments.
Beneficial Ownership, page 12
1. Please update the beneficial ownership table to reflect any person who is the beneficial owner of more than five percent of any class of your voting securities, including the holders of the Series H Convertible Preferred Stock. See Item 6(d) of Schedu le 14A.
We remind you that the company and its management are responsible for the accuracy and adequacy of their disclosures, notwithstanding any review, comments, action or absence of action by the staff.
Anthony J. Cataldo Oxis International, Inc. April 20, 2017 Page 2
Please contact Chris Edwards at (202) 55 1-6761 or Erin Jaskot at (202) 551 -3442 with any questions.
Sincerely,
/s/ Erin K. Jaskot, for
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Mail Stop 4546 April 20, 2017 Anthony J. Cataldo Chairman and CEO Oxis International, Inc. 100 South Ashley Drive, Suite 600 Tampa, Florida 33602 Re: Oxis International, Inc. Revised Preliminary Information Statement on Schedule 14C Filed April 14 , 2017 File No. 000 -08092 Dear Mr. Cataldo : We have limited our review of your filing to those issues we have addressed in our comment. Please respond to the comment within ten business days by providing the requested information or advise us as soon as p ossible when you will respond. If you do not believe our comment appl ies to your facts and circumstances, please tell us why in your response. After reviewing your response to the comment , we may have additional comments. Beneficial Ownership, page 12 1. Please update the beneficial ownership table to reflect any person who is the beneficial owner of more than five percent of any class of your voting securities, including the holders of the Series H Convertible Preferred Stock. See Item 6(d) of Schedu le 14A. We remind you that the company and its management are responsible for the accuracy and adequacy of their disclosures, notwithstanding any review, comments, action or absence of action by the staff. Anthony J. Cataldo Oxis International, Inc. April 20, 2017 Page 2 Please contact Chris Edwards at (202) 55 1-6761 or Erin Jaskot at (202) 551 -3442 with any questions. Sincerely, /s/ Erin K. Jaskot, for Suzanne Hayes Assistant Director Office of Healthcare and Insurance Cc: Gary R. Henrie