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LAZAR DAVID E.
Date Filed :
Jul 08, 2022
View Exhibits
SEC FORM 3
SEC Form 3
FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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:
3235-0104
Estimated average burden
hours per response:
0.5
1. Name and Address of Reporting Person
*
Lazar David E.
(Last)
(First)
(Middle)
VILLA 1, 14-43RD STREET
JUMEIRAH 2
(Street)
DUBAI
C0
00000
(City)
(State)
(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/06/2022
3. Issuer Name
and
Ticker or Trading Symbol
TITAN PHARMACEUTICALS INC
[
TTNP
]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
X
10% Owner
Officer (give title below)
Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 $0.001
1,421,133
D
(1)
Common Stock, par value $0.001
43,145
I
By Activist Investing LLC
(1)
(2)
(3)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)
2. Date Exercisable and Expiration Date (Month/Day/Year)
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form: 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
1. Name and Address of Reporting Person
*
Lazar David E.
(Last)
(First)
(Middle)
VILLA 1, 14-43RD STREET
JUMEIRAH 2
(Street)
DUBAI
C0
00000
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
Activist Investing LLC
(Last)
(First)
(Middle)
1185 AVENUE OF THE AMERICAS, 3RD FLOOR.
(Street)
NEW YORK
NY
10036
(City)
(State)
(Zip)
Explanation of Responses:
1. This Form 3 is filed jointly by Activist Investing LLC ("Activist Investing") and David E. Lazar (collectively, the "Reporting Persons").
2. Securities of Titan Pharmaceuticals, Inc. (the "Issuer") beneficially owned directly by Activist Investing. Mr. Lazar, as the sole member and Chief Executive Officer of Activist Investing, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Activist Investing.
3. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
/s/ David E. Lazar
07/08/2022
Activist Investing LLC, By: /s/ David E. Lazar, Chief Executive Officer
07/08/2022
** 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 Number.
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