Initial Statement of Beneficial Ownership (3)
04 Abril 2023 - 6:05PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Freebird Partners LP |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/3/2023
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3. Issuer Name and Ticker or Trading Symbol
Eterna Therapeutics Inc. [ERNA]
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(Last)
(First)
(Middle)
2800 POST OAK BLVD, SUITE 2000 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
HOUSTON, TX 77056
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.005 per share | 272582 | D (1) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Common Stock Purchase Warrant | 6/2/2023 | 6/2/2028 | Common Stock, par value $0.005 per share | 424928 | $3.28 (2) | D (1)(2) | |
Explanation of Responses: |
(1) | This report is filed jointly by Freebird Partners LP, a Texas limited partnership ("Freebird Partners"), Freebird Investments LLC, a Texas limited liability company ("Freebird Investments"), and Curtis W. Huff (each a "Reporting Person" and collectively, the "Reporting Persons") in connection with their respective direct and indirect ownership of common stock, par value $0.0005 of Eterna Therapeutics Inc. (the "Company"). These securities of the Company are held of record by Freebird Partners. Freebird Investments serves as the general partner of Freebird Partners. Curtis W. Huff is the sole member of Freebird Investments. By virtue of these relationships, each of Freebird Investments and Mr. Huff may be deemed to share beneficial ownership of the securities held of record by Freebird Partners. |
(2) | Pursuant to that certain Securities Purchase Agreement, as announced in the Issuer's Current Report on Form 8-K filed with the SEC on November 25, 2022, the Company issued that certain Common Stock Purchase Warrant ("Warrant") to Freebird Partners LP on December 2, 2022, in substantially the form as the form of warrant filed as Exhibit 10.1 to the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission (the "SEC") on December 2, 2022. The Warrant becomes exercisable on June 2, 2023, and may be exercised through June 2, 2028, at an exercise price of $3.28 per share of Common Stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Freebird Partners LP 2800 POST OAK BLVD, SUITE 2000 HOUSTON, TX 77056 |
| X |
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Freebird Investments LLC 2800 POST OAK BLVD, SUITE 2000 HOUSTON, TX 77056 |
| X |
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HUFF CURTIS W 2800 POST OAK BLVD, SUITE 2000 HOUSTON, TX 77056 |
| X |
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Signatures
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Freebird Partners LP, By: Freebird Investments LLC, its general partner, By: /s/ Curtis W. Huff, Chairman and President | | 4/4/2023 |
**Signature of Reporting Person | Date |
Freebird Investments LLC, By: /s/ Curtis W. Huff, Chairman and President | | 4/4/2023 |
**Signature of Reporting Person | Date |
/s/ Curtis W. Huff | | 4/4/2023 |
**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 5(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 control number. |
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