GT Biopharma, Inc.
For the period ended Jun 30, 2026. Filed Aug 14, 2026.
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Jun 30, 2026 · Filed Aug 14, 2026
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Unregistered Sales of Equity Securities and Use of Proceeds
During the second quarter of 2026, the Company issued securities in reliance on the exemption from registration provided by Section 4(a)(2) of the Securities Act, in the amounts and for the consideration set forth below:
On April 1, 2026, the Company entered into an Amended and Restated Advisory Agreement (the “Amended Advisory Agreement”) with PDPC Advisors Inc. (“PDPC”), to perform certain advisory services. Pursuant to the Amended Advisory Agreement, the Company issued to PDPC a pre-funded warrant to purchase 400,000 shares of Common Stock.
On June 24, 2026, the Company issued an aggregate of 175,015 shares of Common Stock to the holders of Series L Preferred Stock of record as of July 1, 2026 as a dividend, which represents 12% of the outstanding stated value of the Series L Preferred Stock during the three months ended June 30, 2026.
Any other issuances of unregistered equity securities during the three months ended June 30, 2026 have previously been disclosed in filings with the SEC.
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