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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN 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. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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 at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KAPLITT MARTIN J DR C/O NEUROLOGIX, INC. ONE BRIDGE PLAZA FORT LEE, NJ 07024 |
 X |  |  |  |
/s/ Martin J. Kaplitt | 02/04/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Of the shares gifted by the reporting person on July 14, 2009, 40,000 were gifted to an irrevocable gift trust for the benefit of an immediate family member of the reporting person, 40,000 were gifted to a custodial account for the benefit of an immediate family member of the reporting person under the Uniform Gifts to Minors Act and 40,000 were gifted to a custodial account for the benefit of another immediate family member of the reporting person under the Uniform Gifts to Minors Act. The reporting person is a trustee of the irrevocable gift trust and the custodian for each of the custodial accounts. |
(2) | As of December 31, 2009. |
(3) | Shares held in a family trust of which the reporting person and his wife are the sole trustees and the reporting person is the sole beneficiary. |
(4) | Shares held in an irrevocable gift trust of which the reporting person is a trustee and an immediate family member of the reporting person is the sole beneficiary. |
(5) | Of the shares gifted by the reporting person on April 29, 2010, 30,000 were gifted to an irrevocable gift trust for the benefit of an immediate family member of the reporting person, 30,000 were gifted to a custodial account for the benefit of an immediate family member of the reporting person under the Uniform Gifts to Minors Act and 30,000 were gifted to a custodial account for the benefit of another immediate family member of the reporting person under the Uniform Gifts to Minors Act. The reporting person is a trustee of the irrevocable gift trust and the custodian for each of the custodial accounts. |