Thursday, October 01, 2020 4:27:45 PM
WELL. Almost at a buck. WHOOOO HOOOOO. Nuther note.
Got a Investor Complaint form in to FINRA for open disclosure of the entity buying up Hoffman's shares on sale. AND, got an answer back when I notified TYME, after several prior RFIs. Goldman Sachs is on the single record received so far.
INFO ONLY, got a couple of links to SEC sites for form searches in here too.[/quote]RE: FINRA Complaint Submitted, Open Disclosure, Form 144 Request
From ??????? ^^^^^ <########@tymeinc.com>
6:57 AM (8 hours ago)
to me, ?????
Mr. ########,
Please note Mr. Hoffman’s Report on Form 144 are filed periodically under his 10b5-1 Plan. See attached.
Here's a link to the attachment mentioned:
https://sec.report/Form/144-PAPER/4035
On that note, for this Form 144 Record, Goldman Sachs has been in possession of 584,500 common shares since 15th of July. At that time, 126,610,446 remain unsold from the original 16 June 8K.
An excerpt from Investor Complaint submitted to FINancial Regulations Agency:
*********************************************************
This complaint is submitted on this date as an on-going public disclosure violation being executed by:
Tyme Technologies, Inc.
(SEC CIK #0001537917
SIC:2834 [PHARMACEUTICAL PREPARATIONS]
1 PLUCKEMIN WAY - SUITE 103
BEDMINSTER NJ 07921
Business Phone 212-461-2315 Legal Entity
Indentifier (LEI 549300HF903Y0NJLOG06 **************
Item 1, Failing to Disclose Citation ******************************
This action being submitted In Accordance With (IAW) FINRA's instructional pamphlet, Investor Complaint Program (pamphlet) downloaded from the Agency's Investor Documentation on-line services.
(@https://www.finra.org/sites/default/files/InvestorDocument/p011944.pdf.
Specifically, ITEM 4 from file's Prohibited Conduct list from which following excerpts are provide: Certain types of conduct in the securities industry are prohibited, including the following:
4. Misrepresenting or failing to disclose material facts concerning an investment. ************** Item 2. Investor
......
8K Citation***************************
(1) Electronic Filings:
https://sec.report/Form/144
(2) Paper Submissions:
https://sec.report/Form/144-PAPER[/quote]From Steve Hoffman's June 16th, 2020 8K
https://sec.report/Document/0001193125-20-170525/
Published: 2020-06-16 17:18:04 Submitted: 2020-06-16
Period Ending In: 2020-06-16
Item 8.01 Other Events. ...Chief Executive Officer, Steve Hoffman, entered into an individual written trading plan (the “10b5-1 Plan”) in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, and our insider trading policy. Under the 10b5-1 Plan, Mr. Hoffman will sell up to a maximum of 2 million shares in one or more transactions, at market prices, between July 2020 and June 2021, subject to weekly volume limitations.
Sales of 500,000 of these shares will also be subject to certain minimum price thresholds specified in the 10b5-1 Plan. The maximum number of shares that
could be sold over the twelve month period represents approximately 7.5% of Mr. Hoffman’s current ownership and 1.6% of the total Tyme outstanding common stock..
The transactions executed in accordance with the 10b5-1 Plan will be disclosed publicly through Form 144 and Form 4 filings with the Securities and Exchange Commission. Except as may be required by law, the
4.[/quote]
GLTUA
Got a Investor Complaint form in to FINRA for open disclosure of the entity buying up Hoffman's shares on sale. AND, got an answer back when I notified TYME, after several prior RFIs. Goldman Sachs is on the single record received so far.
INFO ONLY, got a couple of links to SEC sites for form searches in here too.[/quote]RE: FINRA Complaint Submitted, Open Disclosure, Form 144 Request
From ??????? ^^^^^ <########@tymeinc.com>
6:57 AM (8 hours ago)
to me, ?????
Mr. ########,
Please note Mr. Hoffman’s Report on Form 144 are filed periodically under his 10b5-1 Plan. See attached.
Here's a link to the attachment mentioned:
https://sec.report/Form/144-PAPER/4035
On that note, for this Form 144 Record, Goldman Sachs has been in possession of 584,500 common shares since 15th of July. At that time, 126,610,446 remain unsold from the original 16 June 8K.
An excerpt from Investor Complaint submitted to FINancial Regulations Agency:
*********************************************************
This complaint is submitted on this date as an on-going public disclosure violation being executed by:
Tyme Technologies, Inc.
(SEC CIK #0001537917
SIC:2834 [PHARMACEUTICAL PREPARATIONS]
1 PLUCKEMIN WAY - SUITE 103
BEDMINSTER NJ 07921
Business Phone 212-461-2315 Legal Entity
Indentifier (LEI 549300HF903Y0NJLOG06 **************
Item 1, Failing to Disclose Citation ******************************
This action being submitted In Accordance With (IAW) FINRA's instructional pamphlet, Investor Complaint Program (pamphlet) downloaded from the Agency's Investor Documentation on-line services.
(@https://www.finra.org/sites/default/files/InvestorDocument/p011944.pdf.
Specifically, ITEM 4 from file's Prohibited Conduct list from which following excerpts are provide: Certain types of conduct in the securities industry are prohibited, including the following:
4. Misrepresenting or failing to disclose material facts concerning an investment. ************** Item 2. Investor
......
8K Citation***************************
(1) Electronic Filings:
https://sec.report/Form/144
(2) Paper Submissions:
https://sec.report/Form/144-PAPER[/quote]From Steve Hoffman's June 16th, 2020 8K
https://sec.report/Document/0001193125-20-170525/
Published: 2020-06-16 17:18:04 Submitted: 2020-06-16
Period Ending In: 2020-06-16
Item 8.01 Other Events. ...Chief Executive Officer, Steve Hoffman, entered into an individual written trading plan (the “10b5-1 Plan”) in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, and our insider trading policy. Under the 10b5-1 Plan, Mr. Hoffman will sell up to a maximum of 2 million shares in one or more transactions, at market prices, between July 2020 and June 2021, subject to weekly volume limitations.
Sales of 500,000 of these shares will also be subject to certain minimum price thresholds specified in the 10b5-1 Plan. The maximum number of shares that
could be sold over the twelve month period represents approximately 7.5% of Mr. Hoffman’s current ownership and 1.6% of the total Tyme outstanding common stock..
The transactions executed in accordance with the 10b5-1 Plan will be disclosed publicly through Form 144 and Form 4 filings with the Securities and Exchange Commission. Except as may be required by law, the
4.[/quote]
GLTUA
