Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO §240. 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO §240. 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 3)*
Tyme Technologies, Inc.
(Name of Issuer)
Common Shares
(Title of Class of Securities)
90238J103
(CUSIP Number)
December 31, 2020
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ Rule 13d-1(d)
| * | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
13G
| CUSIP NO. 90238J103 | Page 2 of 5 Pages |
| 1 |
NAME OF REPORTING PERSON
Steve Hoffman | |||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) ☐ (b) ☐
| |||||
| 3 | SEC USE ONLY
| |||||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION
United States | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 | SOLE VOTING POWER
25,537,748 (1) | ||||
| 6 | SHARED VOTING POWER
0 | |||||
| 7 | SOLE DISPOSITIVE POWER
25,537,748 (1) | |||||
| 8 | SHARED DISPOSITIVE POWER
0 | |||||
| 9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25,537,748 (1) | |||||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) ☐
| |||||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
19.6% (based on 130,427,089 common shares outstanding as of January 27, 2021, plus 500,000 common shares subject to presently exercisable options. Includes 490,000 shares of common stock for which this holder possesses sole voting power, but which are subject to a currently exercisable (non-Company) option through which a third-party may acquire certain shares). | |||||
| 12 | TYPE OF REPORTING PERSON (see instructions)
IN | |||||
| (1) | Includes 500,000 common shares subject to presently exercisable options. Also includes 490,000 shares of common stock for which this holder possesses sole voting power, but which are subject to a currently exercisable (non-Company) option through which a third-party may acquire certain shares. |
13G
| CUSIP NO. 90238J103 | Page 3 of 5 Pages |
| Item 1. |
| (a) | Name of Issuer. |
Tyme Technologies, Inc.
| (b) | Address of Issuer’s Principal Executive Offices. |
1 Pluckemin Way – Suite 103
Bedminster, New Jersey 07921
| Item 2. |
| (a) | Name of Person Filing. |
Steve Hoffman
| (b) | Address of Principal Business Office or, if none, Residence. |
1 Pluckemin Way – Suite 103
Bedminster, New Jersey 07921
| (c) | Citizenship. |
United States
| (d) | Title of Class of Securities. |
Common Shares
| (e) | CUSIP Number. |
90238J103
| Item 3. | If this statement is filed pursuant to §240. 13d-1(b), or §240. 13d-2(b) or (c), check whether the person filing is a: |
Not applicable.
13G
| CUSIP NO. 90238J103 | Page 4 of 5 Pages |
| Item 4. | Ownership. |
| (a) | Amount Beneficially Owned. |
25,537,748 (1) (including 500,000 common shares subject to presently exercisable options. Includes 490,000 shares of common stock for which this holder possesses sole voting power, but which are subject to a currently exercisable (non-Company) option through which a third-party may acquire certain shares)
| (b) | Percent of Class. |
19.6% (based on 130,427,089 common shares outstanding as of January 27, 2021, plus 500,000 common shares subject to presently exercisable options. Includes 490,000 shares of common stock for which this holder possesses sole voting power, but which are subject to a currently exercisable (non-Company) option through which a third-party may acquire certain shares)
| (c) | Number of shares as to which such person has: |
| (i) | sole power to vote or to direct the vote: 25,537,748 (1) |
| (ii) | shared power to vote or to direct the vote: 0 |
| (iii) | sole power to dispose or to direct the disposition of: 25,537,748 (1) |
| (iv) | shared power to dispose or to direct the disposition of: 0 |
| Item 5. | Ownership of Five Percent or Less of a Class. |
Not applicable.
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Not applicable.
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. |
Not applicable.
| Item 8. | Identification and Classification of Members of the Group. |
Not applicable.
13G
| CUSIP NO. 90238J103 | Page 5 of 5 Pages |
| Item 9. | Notice of Dissolution of Group. |
Not applicable.
| Item 10. | Certifications. |
Not applicable.
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 12, 2021 |
| /s/ Steve Hoffman |
| Steve Hoffman |