1
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NAME OF REPORTING PERSON:
Mina Sooch
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) ◻
(b) ◻
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3
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SEC USE ONLY:
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION:
United States of America
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
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5
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SOLE VOTING POWER: 1,286,262 (1)
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6
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SHARED VOTING POWER: 0
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7
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SOLE DISPOSITIVE POWER: 1,286,262 (1)
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8
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SHARED DISPOSITIVE POWER: 0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 1,286,262 (1)
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
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☐ |
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
11.8% (See Item 4 herein)
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12
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TYPE OF REPORTING PERSON:
IN
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(1) |
Includes (a) 466,759 shares underlying stock options; (b) 17,413 shares underlying Series A Warrants, and (c) 2,046 shares underlying Series B Warrants.
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Item 1.
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(a)
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Name of Issuer.
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Ocuphire Pharma, Inc.
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(b)
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Address of issuer’s principal executive offices.
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37000 Grand River Avenue, Suite 120, Farmington Hills, MI 48335
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Item 2.
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(a)
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Name of person filing (the “Reporting Person”).
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Mina Sooch
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(b)
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Address or principal business office or, if none, residence.
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The address for the Reporting Person is 37000 Grand River Avenue, Suite 120 Farmington Hills, MI 48335
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(c)
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Citizenship.
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Ms. Sooch is a citizen of the United States of America.
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(d)
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Title of class of securities.
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Common Stock, $0.0001 par value
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(e)
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CUSIP No.
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67577R102
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(a) | [_] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
(b) | [_] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
(c) | [_] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
(d) | [_] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
(e) | [_] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E). |
(f) | [_] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F). |
(g) | [_] | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G). |
(h) | [_] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). |
(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 (15 U.S.C. 80a-3). |
(j) | [_] | A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J). |
(k) | [_] | Group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution. |
(c)
Number of Shares as to which the person has:
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Name
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(a)
Amount Beneficially Owned
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(b)
Percent of Class*
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Sole Power to Vote or to Direct the Vote
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Shared Power to Vote or to Direct the Vote
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Sole Power to Dispose or to Direct the Disposition of
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Shared Power to Dispose or to Direct the Disposition of
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Mina Sooch
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1,286,262 (1)
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11.8%
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1,286,262 (1)
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0
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1,286,262 (1)
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0
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Item 5.
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Ownership of Five Percent or Less of a Class.
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Not applicable.
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Not applicable.
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Item 7.
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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.
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Identification and Classification of Members of the Group.
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Not applicable.
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Item 9.
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Notice of Dissolution of Group.
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Not applicable.
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Item 10.
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Certification.
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/s/ Mina Sooch
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Mina Sooch
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