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Alaunos Therapeutics Director Shows Confidence with Major Preferred Stock Investment

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Insider Trading Activity Report for Alaunos Therapeutics (TCRT) reveals significant transactions by Director Robert W. Postma. On June 24, 2025, Postma acquired 600 shares of Series A-2 Convertible Preferred Stock at $4.49 per share through WaterMill Asset Management Corp, convertible to 133,630.29 common shares.

Key holdings and transactions include:

  • Direct ownership of 29,083 common shares, including recent acquisition of 20,804 shares at $2.92
  • Indirect ownership through WaterMill Asset Management Corp of 33,333 common shares
  • 500 Series A-1 Preferred Stock (convertible to 181,159 common shares) at $2.76
  • Employee Stock Option for 3,737 shares at $10.30, vesting monthly through 2025

Notable ownership restrictions include a 4.99% beneficial ownership limit on converted preferred shares. The filing indicates continued insider investment in the company with diversified security types.

Positive

  • Director Robert Postma acquired 20,804 shares of common stock at $2.92 per share, representing a significant open market purchase worth approximately $60,748
  • Director Postma purchased 600 Series A-2 Convertible Preferred Stock at $4.49, demonstrating further confidence in the company through substantial investment

Negative

  • None.
Insider Postma Robert W
Role Director
Bought 1,100 shs ($4K)
Type Security Shares Price Value
Purchase Series A-2 Convertible Preferred Stock 600 $4.49 $3K
holding Employee Stock Option (right to buy) -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Grant/Award Common Stock 20,804 $2.92 $61K
Purchase Series A-1 Convertible Preferred Stock 500 $2.76 $1K
Holdings After Transaction: Series A-2 Convertible Preferred Stock — 600 shares (Indirect, By Watermill Asset Management Corp); Employee Stock Option (right to buy) — 3,737 shares (Direct); Common Stock — 24 shares (Indirect, By spouse's IRA); Common Stock — 29,083 shares (Direct); Series A-1 Convertible Preferred Stock — 500 shares (Indirect, By WaterMill Asset Management Corp.)
Footnotes (1)
  1. The shares are directly held by WaterMill Asset Management Corp. ("WaterMill"). The Reporting Person serves as the principal of WaterMill. The preferred stock is perpetual and therefore has no expiration date. The reporting person disclaims beneficial ownership of these equity securities to the extent that after giving effect of the conversion of the preferred stock and the underlying common stock issuance, the reporting person would beneficially own in the aggregate in excess of 4.99% of the outstanding shares immediately after giving effect to such conversion or issuance. One-twelfth of the Option vests each month on the monthly anniversary of June 6, 2024, with any amount that remains unvested on the date immediately preceding the Company's 2025 annual general meeting of stockholders vesting thereon.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Postma Robert W
(Last) (First) (Middle)
C/O ALAUNOS THERAPEUTICS, INC.
2617 BISSONNET ST, SUITE 233
(Street)
HOUSTON TX 770005
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Alaunos Therapeutics, Inc. [ TCRT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
06/24/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 04/13/2025 A 20,804 A $2.92 29,083 D
Common Stock 24 I By spouse's IRA
Common Stock 33,333 I By WaterMill Asset Management Corp.(1)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A-1 Convertible Preferred Stock $2.76 04/11/2025 P 500 04/11/2025 (2) Common Stock 181,159(3) $2.76 500 I By WaterMill Asset Management Corp.(1)
Series A-2 Convertible Preferred Stock $4.49 06/24/2025 P 600 06/24/2025 (2) Common Stock 133,630.29 $4.49 600 I By Watermill Asset Management Corp(1)
Employee Stock Option (right to buy) $10.3 (4) 06/05/2034 Common Stock 3,737 3,737 D
Explanation of Responses:
1. The shares are directly held by WaterMill Asset Management Corp. ("WaterMill"). The Reporting Person serves as the principal of WaterMill.
2. The preferred stock is perpetual and therefore has no expiration date.
3. The reporting person disclaims beneficial ownership of these equity securities to the extent that after giving effect of the conversion of the preferred stock and the underlying common stock issuance, the reporting person would beneficially own in the aggregate in excess of 4.99% of the outstanding shares immediately after giving effect to such conversion or issuance.
4. One-twelfth of the Option vests each month on the monthly anniversary of June 6, 2024, with any amount that remains unvested on the date immediately preceding the Company's 2025 annual general meeting of stockholders vesting thereon.
/s/ Melinda Lackey, Attorney-in-Fact 06/26/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider trading activity occurred at TCRT (Alaunos Therapeutics) on June 24, 2025?

Director Robert W. Postma, through WaterMill Asset Management Corp., purchased 600 shares of Series A-2 Convertible Preferred Stock at $4.49 per share, convertible to 133,630.29 shares of common stock.

How many shares of TCRT common stock does Robert Postma directly own after the reported transactions?

Following the reported transactions, Robert Postma directly owns 29,083 shares of TCRT common stock. Additionally, he holds indirect ownership of 24 shares through his spouse's IRA and 33,333 shares through WaterMill Asset Management Corp.

What stock options does Robert Postma hold in TCRT?

Postma holds employee stock options for 3,737 shares of TCRT common stock with an exercise price of $10.30, expiring on June 5, 2034. These options vest monthly (1/12th per month) from June 6, 2024, with remaining unvested portions vesting at the 2025 annual meeting.

What convertible preferred stock positions does Robert Postma hold in TCRT through WaterMill Asset Management?

Through WaterMill Asset Management Corp., Postma holds 500 shares of Series A-1 Convertible Preferred Stock (convertible at $2.76, representing 181,159 common shares) and 600 shares of Series A-2 Convertible Preferred Stock (convertible at $4.49, representing 133,630.29 common shares).

What ownership limitations apply to TCRT's convertible preferred stock?

The reporting person's beneficial ownership is limited to 4.99% of outstanding shares after any conversion of preferred stock or underlying common stock issuance. This limitation is specifically noted in the filing's explanatory notes.