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
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Kintara Therapeutics, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
49720K101
(CUSIP Number)
December 31, 2021
(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).
SCHEDULE 13G
(Amendment No. 2)
CUSIP NO. 49720K101
|
1 |
NAME OF REPORTING PERSON
Carolyn A. Pilkiewicz |
|
2 |
CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP
(a) (b) X* |
|
3 |
SEC USE ONLY |
|
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
20,223 |
|
6 |
SHARED VOTING POWER
1,150,067 |
|
|
7 |
SOLE DISPOSITIVE POWER
20,223 |
|
|
8 |
SHARED DISPOSITIVE POWER
1,150,067 |
|
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,170,290 ** |
|
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.41%*** |
|
12 |
TYPE OF REPORTING PERSON
IN |
For purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, all shares of the common stock, $0.001 par value per share (the “Common Stock”) of Kintara Therapeutics, Inc. (the “Company”) beneficially owned by The Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 (“FGPRT”) may be deemed to be beneficially owned by Carolyn A. Pilkiewicz and Michael B. DeGidio as Co-Trustees of FGPRT.
* The reporting persons expressly disclaim (i) the existence of any group and (ii) beneficial ownership with respect to any shares other than the shares owned of record by such reporting person and as set forth below.
** This amount consists of: 1,170,290 shares of the Common Stock held by Mrs. Pilkiewicz, including 1,150,067 shares of Common Stock held by FGPRT of which Mrs. Pilkiewicz is a beneficiary and Co-Trustee and 20,223 shares of Common Stock held by Mrs. Pilkiewicz personally. Mrs. Pilkiewicz has shared voting and investment control of the securities held by FGPRT.
*** Based on 48,535,338 shares of the Company’s Common Stock outstanding as of November 11, 2021.
SCHEDULE 13G
(Amendment No. 2)
CUSIP NO. 49720K101
|
1 |
NAME OF REPORTING PERSON
Michael B. DeGidio |
|
2 |
CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP
(a) (b) X* |
|
3 |
SEC USE ONLY
|
|
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
4,601 |
|
6 |
SHARED VOTING POWER
1,150,067 |
|
|
7 |
SOLE DISPOSITIVE POWER
4,601 |
|
|
8 |
SHARED DISPOSITIVE POWER
1,150,067 |
|
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,154,668 ** |
|
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.38%*** |
|
12 |
TYPE OF REPORTING PERSON
IN |
* The reporting person expressly disclaims (i) the existence of any group and (ii) beneficial ownership with respect to any shares other than the shares owned of record by such reporting person. Mr. DeGidio is Co-Trustee of FGPRT, but is not a beneficiary and disclaims beneficial ownership of the securities held FGPRT. Mr. DeGidio expressly acknowledges that he individually neither holds any beneficial ownership, nor any pecuniary interest, in such FGPRT securities.
** This amount consists of: 1,154,668 shares of the Common Stock held by Mr. DeGidio, including 1,150,067 shares of Common Stock held by FGPRT of which Mr. DeGidio is a Co-Trustee and 4,601 shares of Common Stock held by Mr. DeGidio personally. Mr. DeGidio has shared voting and investment control of the securities held by FGPRT.
*** Based on 48,535,338 shares of the Company’s Common Stock outstanding as of November 11, 2021.
SCHEDULE 13G
(Amendment No. 2)
CUSIP NO. 49720K101
|
1 |
NAME OF REPORTING PERSON
The Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 |
|
2 |
CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP
(a) (b) X* |
|
3 |
SEC USE ONLY
|
|
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
New Jersey |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
0 |
|
6 |
SHARED VOTING POWER
1,150,067 |
|
|
7 |
SOLE DISPOSITIVE POWER
0 |
|
|
8 |
SHARED DISPOSITIVE POWER
1,150,067 |
|
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,150,067 |
|
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.37%** |
|
12 |
TYPE OF REPORTING PERSON
OO |
* The reporting person expressly disclaims (i) the existence of any group and (ii) beneficial ownership with respect to any shares other than the shares owned of record by such reporting person. Mr. DeGidio expressly acknowledges that he individually neither holds any beneficial ownership, nor any pecuniary interest, in such securities.
** Based on 48,535,338 shares of the Company’s Common Stock outstanding as of November 11, 2021.
SCHEDULE 13G
(Amendment No. 2)
|
Item 1(a). |
Name of Issuer: |
|
|
Kintara Therapeutics, Inc. (the “Company”). |
||
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Item 1(b). |
Address of Issuer’s Principal Executive Offices: |
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12707 High Bluff Dr., Suite 200, San Diego, CA 92130 |
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Item 2(a) and (b). |
Name of Person Filing and Address of Principal Business or Office or, if none, Residence: |
|
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Carolyn Pilkiewicz |
||
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The Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 |
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Michael B. DeGidio |
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3 Davenport Drive |
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Princeton Junction, NJ 08550 |
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Item 2(c). |
Citizenship: |
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Carolyn Pilkiewicz is a citizen of the United States. |
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The Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 was organized under the laws of the State of New Jersey. |
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Michael B. DeGidio is a citizen of the United States. |
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Item 2(d). |
Title of Class of Securities: |
|||
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Common Stock |
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Item 2(e). |
CUSIP No.: |
|||
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49720K101 |
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Item 3. |
If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: |
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(a) |
☐ |
Broker or Dealer registered under Section 15 of the Act. |
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(b) |
☐ |
Bank as defined in Section 3(a)(6) of the Act. |
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(c) |
☐ |
Insurance Company as defined in Section 3(a)(19) of the Act. |
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(d) |
☐ |
Investment company registered under Section 8 of the Investment Company Act of 1940. |
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(e) |
☐ |
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
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(f) |
☐ |
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
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(g) |
☐ |
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
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(h) |
☐ |
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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(i) |
☐ |
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940; |
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(j) |
☐ |
A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); |
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(k) |
☐ |
Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: |
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Item 4. |
Ownership: |
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(a) Amount beneficially owned: |
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Carolyn Pilkiewicz |
- |
1,170,290 shares. |
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This amount consists of: 1,170,290 shares of the Common Stock held by Mrs. Pilkiewicz, including 1,150,067 shares of Common Stock held by FGPRT of which Mrs. Pilkiewicz is a beneficiary and Co-Trustee and 20,223 shares of Common Stock held by Mrs. Pilkiewicz personally. Mrs. Pilkiewicz has shared voting and investment control of the securities held by FGPRT. |
&# xA0; | |||
|
The Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 |
- |
1,150,067 shares. |
||
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Michael B. DeGidio |
- |
1,154,668 shares |
||
|
This amount consists of: 1,154,668 shares of the Common Stock held by Mr. DeGidio, including 1,150,067 shares of Common Stock held by FGPRT of which Mr. DeGidio is a Co-Trustee and 4,601 shares of Common Stock held by Mr. DeGidio personally. Mr. DeGidio has shared voting and investment control of the securities held by FGPRT. |
||||
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(b) Percent of class: |
||||
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Carolyn Pilkiewicz |
- |
2.41% |
||
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The Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 |
- |
2.37%. |
||
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Michael B. DeGidio |
- |
2.38% |
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(c) Number of shares as to which the person has: |
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(i) Sole power to vote or to direct the vote: |
|||||
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Carolyn Pilkiewicz |
- |
20,223 shares. |
|||
|
Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 |
- |
-0- shares. |
|||
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Michael B. DeGidio |
- |
4,601 shares. |
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(ii) Shared power to vote or to direct the vote: |
|||||
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Carolyn Pilkiewicz |
- |
1,150,067 shares. |
|||
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Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 |
- |
1,150,067 shares. |
|||
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Michael B. DeGidio |
- |
1,150,067 shares. |
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(iii) Sole power to dispose or to direct the disposition of: |
|||||
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Carolyn Pilkiewicz |
- |
20,223 shares. |
|||
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Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 |
- |
-0- shares. |
|||
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Michael B. DeGidio |
- |
4,601 shares. |
|||
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(iv) Shared power to dispose or to direct the disposition of: |
|||||
|
Carolyn Pilkiewicz |
- |
1,150,067 shares. |
|||
|
Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001 |
- |
1,150,067 shares. |
|||
|
Michael B. DeGidio |
- |
1,150,067 shares. |
|||
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Item 5. |
Ownership of Five Percent or Less of a Class: |
|
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [X]. |
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Item 6. |
Ownership of More Than Five Percent on Behalf of Another Person: |
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Not Applicable |
|
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Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person: |
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Not Applicable |
|
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Item 8. |
Identification and Classification of Members of the Group: |
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Not Applicable |
|
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Item 9. |
Notice of Dissolution of Group: |
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Not Applicable |
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Item 10. |
Certification: |
|
By signing below each of Carolyn Pilkiewicz, Frank G. Pilkiewicz Revocable Trust dtd 10-17-2001, and Michael B. DeGidio certifies that, to the best of such reporting person’s knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11. |
SIGNATURE
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.
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Dated: February 7, 2022 |
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By: |
/S/ Carolyn Pilkiewicz |
|
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Carolyn Pilkiewicz, Co-Trustee |
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By: |
/S/ Michael B. DeGidio |
|
|
Michael B. DeGidio |
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FRANK G. PILKIEWICZ REVOCABLE TRUST DTD 10-17-2001 |
||
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By: |
/S/ Carolyn Pilkiewicz |
|
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Carolyn Pilkiewicz, Co-Trustee |
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By: |
/S/ Michael B. DeGidio |
|
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Michael B. DeGidio, Co-Trustee |
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LIST OF EXHIBITS
|
Exhibit No. |
Description |
|
|
99.1* |
Joint Filing Agreement (incorporated by reference to Exhibit 1 to the Schedule 13G filed by and among the Reporting Persons on November 16, 2020). |
|
* Previously filed.