Sec Form 4 Filing - Patel Snehal @ Greenwich LifeSciences, Inc. - 2020-09-29

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Patel Snehal
2. Issuer Name and Ticker or Trading Symbol
Greenwich LifeSciences, Inc. [ GLSI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
CEO and CFO
(Last) (First) (Middle)
C/O GREENWICH LIFESCIENCES, INC., 3992 BLUEBONNET DR., BUILDING 14
3. Date of Earliest Transaction (MM/DD/YY)
09/29/2020
(Street)
STAFFORD, TX77477
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 09/29/2020 M 176,448 A 1,040,131 D
Common Stock 09/29/2020 M 13,736 A 1,053,867 D
Common Stock 09/29/2020 M 10,394 A 1,064,261 D
Common Stock 09/29/2020 M 103,911 A 1,168,172 D
Common Stock 09/29/2020 M 1,144,529 A 1,321,327 I see footnote ( 1 )
Common Stock 09/29/2020 M 2,997 A 1,324,324 I see footnote ( 1 )
Common Stock 09/29/2020 M 33,708 A 1,358,032 I see footnote ( 1 )
Common Stock 09/29/2020 M 50,001 A 1,408,033 I see footnote ( 1 )
Common Stock 09/29/2020 M 76,780 A 76,780 I see footnote ( 2 )
Common Stock 09/29/2020 M 52,620 A 129,400 I see footnote ( 2 )
Common Stock 2,405,670 I see footnote ( 3 )
Common Stock 1,320,226 I see footnote ( 4 )
Common Stock 1,329,590 I see footnote ( 5 )
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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 Preferred Stock ( 6 ) 09/29/2020 M 176,448 ( 6 ) ( 6 ) Common Stock 176,448 $ 0 0 D
Series A Preferred Stock ( 6 ) 09/29/2020 M 1,144,529 ( 6 ) ( 6 ) Common Stock 1,144,529 $ 0 0 I see footnote ( 1 )
Series B Preferred Stock ( 7 ) 09/29/2020 M 13,736 ( 7 ) ( 7 ) Common Stock 13,736 $ 0 0 D
Series B Preferred Stock ( 7 ) 09/29/2020 M 76,780 ( 7 ) ( 7 ) Common Stock 76,780 $ 0 0 I see footnote ( 2 )
Series B Preferred Stock ( 7 ) 09/29/2020 M 2,997 ( 7 ) ( 7 ) Common Stock 2,997 $ 0 0 I see footnote ( 1 )
Series C Preferred Stock ( 8 ) 09/29/2020 M 10,394 ( 8 ) ( 8 ) Common Stock 10,394 $ 0 0 D
Series C Preferred Stock ( 8 ) 09/29/2020 M 33,708 ( 8 ) ( 8 ) Common Stock 33,708 $ 0 0 I see footnote ( 1 )
Series D Preferred Stock ( 9 ) 09/29/2020 M 89,510 ( 9 ) ( 9 ) Common Stock 89,510 $ 0 0 D
Series D Preferred Stock ( 9 ) 09/29/2020 M 45,328 ( 9 ) ( 9 ) Common Stock 45,328 $ 0 0 I see footnote ( 2 )
Series D Preferred Stock ( 9 ) 09/29/2020 M 43,072 ( 9 ) ( 9 ) Common Stock 43,072 $ 0 0 I see footnote ( 1 )
Series D Preferred Stock ( 10 ) 09/29/2020 J( 11 ) 14,401 ( 10 ) ( 10 ) Common Stock 14,401 $ 0 14,401 D
Series D Preferred Stock ( 10 ) 09/29/2020 J( 11 ) 6,929 ( 10 ) ( 10 ) Common Stock 6,929 $ 0 6,929 I see footnote ( 1 )
Series D Preferred Stock ( 10 ) 09/29/2020 J( 11 ) 7,292 ( 10 ) ( 10 ) Common Stock 7,292 $ 0 7,292 I see footnote ( 2 )
Series D Preferred Stock ( 9 ) 09/29/2020 M 14,401 ( 9 ) ( 9 ) Common Stock 14,401 $ 0 0 D
Series D Preferred Stock ( 9 ) 09/29/2020 M 6,929 ( 9 ) ( 9 ) Common Stock 6,929 $ 0 0 I see footnote ( 1 )
Series D Preferred Stock ( 9 ) 09/29/2020 M 7,292 ( 9 ) ( 9 ) Common Stock 7,292 $ 0 0 I see footnote ( 2 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Patel Snehal
C/O GREENWICH LIFESCIENCES, INC.
3992 BLUEBONNET DR., BUILDING 14
STAFFORD, TX77477
X CEO and CFO
Signatures
/s/ Snehal Patel 09/30/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The securities are owned by Snehal Patel IRA. Snehal Patel is the Trustee of Snehal Patel IRA, and in such capacity is deemed to hold voting and dispositive power over the securities held by such IRA.
( 2 )Kinnary Patel is the spouse of Snehal Patel and Trustee of the Kinnary Patel IRA.
( 3 )The securities are owned by Patel Family Trust 1. Snehal Patel, as co-Trustee of Patel Family Trust 1, shares voting and dispositive power over the securities held by such trust with his spouse.
( 4 )The securities are owned by Patel Family Trust 2. Snehal Patel, as co-Trustee of Patel Family Trust 2, shares voting and dispositive power over the securities held by such trust with his spouse.
( 5 )The securities are owned by Patel Family Trust 3. Snehal Patel, as co-Trustee of Patel Family Trust 3, shares voting and dispositive power over the securities held by such trust with his spouse.
( 6 )The Series A Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date.
( 7 )The Series B Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date.
( 8 )The Series C Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date.
( 9 )The Series D Preferred Stock converted into Issuer common stock on a 1-for-1 basis and had no expiration date.
( 10 )The Series D Preferred Stock have no expiration date and are convertible, at the option of the holder, into shares of common stock of the Issuer at the then-effective conversion rate for no additional consideration (subject to the payment of cash, if applicable, in lieu of any fractional shares in accordance with the Issuer's Amended and Restated Certificate of Incorporation, as amended (the "Certificate of Incorporation").
( 11 )The Reporting Person was issued additional shares of Series D Preferred Stock in connection with the Issuer's initial public offering as a result of the anti-dilution protection provisions set forth in the Issuer's Certificate of Incorporation.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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