UBS (UBS) Form 3/AInitial statement of insider ownership (amended)
Filed: 5 Sep 24, 2:47pm
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 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 08/27/2024 |
3. Issuer Name and Ticker or Trading Symbol
ENDRA Life Sciences Inc. [ NDRA ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) 08/29/2024 |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
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 | 146,012 | I | UBS Securities LLC(1)(2) |
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 |
Explanation of Responses: |
1. This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC, UBS AG London Branch and UBS Financial Services Inc., a wholly owned subsidiary of UBS Group. |
2. This Form 3 Amendment is being filed to correct and replace the original Form 3 filed on August 29, 2024. Subsequent to the date of first filing, the Reporting Person confirmed directly with the Issuer that, due to certain warrant exercises effected on August 27, 2024, the total outstanding common shares issued by ENDRA Life Sciences as of August 27, 2024 was 16,932,593 shares. When taking the revised share count into consideration, the Reporting Person determined it never beneficially owned more than 10% of ENDRA shares. Therefore the Form 3 previously filed by the Reporting Person was erroneous and unnecessary. |
Andrew Johnson | 09/05/2024 | |
Anjali Tiwari | 09/05/2024 | |
** 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. |