Galectin Therapeutics Inc.
GALECTIN THERAPEUTICS INC (Form: 3, Received: 05/01/2017 09:02:22)
FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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
                      

1. Name and Address of Reporting Person *

Uihlein Richard E

2. Date of Event Requiring Statement (MM/DD/YYYY)
4/23/2017 

3. Issuer Name and Ticker or Trading Symbol

GALECTIN THERAPEUTICS INC [GALT]

(Last)        (First)        (Middle)

12575 ULINE DRIVE

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

PLEASANT PRAIRIE, WI 53158       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

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 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   2509909   D  
 
Common Stock   20000   I   By Ed Uihlein Family Foundation   (1)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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 (right to buy)   6/22/2017   12/22/2023   Common Stock   1466204   $5.00   D  
 
Series C Super Dividend Convertible Preferred Stock   12/30/2010     (2) Common Stock   83333   $6.00   D  
 

Explanation of Responses:
(1)  The reporting person is president and director of Ed Uihein Family Foundation, a not-for-profit corporation. The reportion person has no pecuniary interest in the shares, however, he shares voting and dispositive power over the shares and, therefore, remains the beneficial owner of the shares solely for purposes of Section 13(d) of the Securities Exchange Act of 1934.
(2)  The conversion rights for the Series C Super Dividend Convertible Preferred Stock do not expire.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Uihlein Richard E
12575 ULINE DRIVE
PLEASANT PRAIRIE, WI 53158

X


Signatures
Richard E. Uihlein 5/1/2017
** 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).
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