Tonix Pharmaceuticals Holding Corp.

09/08/2026 | Press release | Distributed by Public on 09/08/2026 05:06

Initial Statement of Beneficial Ownership (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
(Print or Type Responses)
1. Name and Address of Reporting Person *
Englese Thomas
2. Date of Event Requiring Statement (Month/Day/Year)
09/04/2026
3. Issuer Name and Ticker or Trading Symbol
Tonix Pharmaceuticals Holding Corp. [TNXP]
(Last) (First) (Middle)
C/O TONIX PHARMACEUTICALS HOLDING CORP, 200 CONNELL DRIVE, SUITE 3100
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Commercial Officer
5. If Amendment, Date Original Filed (Month/Day/Year)
(Street)
BERKELEY HEIGHTS, NJ 07922
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 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, $0.001 par value per share 694 D
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. SEC 1473 (7-02)
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.
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 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
Stock Option(1) 09/09/2025 09/09/2034 Common Stock 500 $16.51 D
Stock Option(2) 02/25/2026 02/25/2035 Common Stock 6,500 $8.05 D
Stock Option(3) 05/13/2026 05/13/2035 Common Stock 12,480 $20.18 D
Stock Option(4) 02/24/2027 02/24/2036 Common Stock 40,000 $14.29 D

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Englese Thomas
C/O TONIX PHARMACEUTICALS HOLDING CORP
200 CONNELL DRIVE, SUITE 3100
BERKELEY HEIGHTS, NJ 07922
Chief Commercial Officer

Signatures

/s/ Thomas Englese 09/08/2026
**Signature of Reporting Person Date

Explanation of Responses:

* 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).
(1) The option was granted on September 9, 2024, pursuant to the Issuer's Amended and Restated 2020 Stock Incentive Plan, as amended. The option vests 1/3rd on the first anniversary of issuance and 1/36th each month thereafter for 24 months.
(2) The option was granted on February 25, 2025, pursuant to the Issuer's Amended and Restated 2020 Stock Incentive Plan, as amended. The option vests 1/3rd on the first anniversary of issuance and 1/36th each month thereafter for 24 months.
(3) The option was granted on May 13, 2025, pursuant to the Issuer's Amended and Restated 2020 Stock Incentive Plan, as amended. The option vests 1/4th on the first anniversary of issuance and 1/48th each month thereafter for 36 months.
(4) The option was granted on February 24, 2026, pursuant to the Issuer's Amended and Restated 2020 Stock Incentive Plan, as amended. The option vests 1/4th on the first anniversary of issuance and 1/48th each month thereafter for 36 months.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
Tonix Pharmaceuticals Holding Corp. published this content on September 08, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on September 08, 2026 at 11:06 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]