UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Contracts for Difference (2) | Â (2) | Â (2) | Common Stock | 10,000 | $ 5.2 (2) | D | Â |
Contracts for Difference (2) | Â (2) | Â (2) | Common Stock | 10,000 | $ 5.18 (2) | D | Â |
Contracts for Difference (2) | Â (2) | Â (2) | Common Stock | 10,000 | $ 5.16 (2) | D | Â |
Contracts for Difference (2) | Â (2) | Â (2) | Common Stock | 10,000 | $ 5.16 (2) | D | Â |
Contracts for Difference (2) | Â (2) | Â (2) | Common Stock | 10,000 | $ 5.16 (2) | D | Â |
Contracts for Difference (2) | Â (2) | Â (2) | Common Stock | 2,450 | $ 5.16 (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hyperion Trading Segregated Portfolio C/O TMF LTD. GRAND PAVILLION COMM. CTR 2ND FL., 802 WEST BAY ROAD, PO BOX 10338 GRAND CAYMAN, E9 KY1-1003 |
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/s/ David P.M. Blair and Richard A. Reinert | 08/19/2014 | |
**Signature of Reporting Person | Date |
* | 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 shares of common stock, $0.001 par value per share (the "Common Shares"), of Raptor Pharmaceutical Corp., a Delaware corporation (the "Company"), reported herein were held by Hyperion Trading Segregated Portfolio (the "Reporting Person"), a segregated portfolio of Strategic Investment Tribes Fund SPC, a Cayman Islands exempted company registered as a segregated portfolio company, managed by Star Arrow Funds Expertise Ltd, a company organized under the laws of Anguilla ("Star"). |
(2) | On November 20, 2012, the Reporting Person held Contracts for Difference of the Common Shares (the "CFDs") reported herein with a securities broker (the "Issuer of the CFDs"), upon which, pursuant to an agreement between the Reporting Person and the Issuer of the CFDs, upon conversion of the CFDs (i) the Issuer of the CFDs would be required to pay the difference between the purchase price of the CFDs (represented in column 4 of Table II) and the market price of the Common Shares at the time of conversion or, (ii) in the case that the purchase price of the CFDs (represented in column 4 of Table II) is less than the market price of the Common Shares at the time of conversion, the Reporting Person would be required to pay the difference between the purchase price of the CFDs (represented in column 4 of Table II) and the market price of the Common Shares at the time of conversion. As of November 20, 2012, the Reporting Person and the Issuer of the CFDs had not converted any of the CFDs. |
 Remarks: 1.  The Common Shares and CFDs reported herein represent securities (the "Securities") held by the Reporting Person. Pursuant to Reg. Section 240.16a-1(a)(1), Star, as the investment manager of the Reporting Person, is not deemed a beneficial owner of the Securities held by the Reporting Person or any other account managed by Star. In the event that Star is deemed a beneficial owner of the Securities held by the Reporting Person or any other account managed by Star, pursuant to Reg. Section 240.16a-1(a)(2), its beneficial ownership is limited to its pecuniary interest, if any, in such Securities. |