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 | ||||
Call Option | 10/25/2018 | 03/15/2019 | Common Stock | 100,000 | $ 50 | D (2) | Â |
Call Option | 10/25/2018 | 03/15/2019 | Common Stock | 70,000 | $ 60 | D (2) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Braslyn Ltd. CAY HOUSE EP TAYLOR DRIVE N7776, LYFORD CAY NEW PROVIDENCE, C5 |
 |  X |  |  |
Boxer Asset Management Inc. CAY HOUSE EP TAYLOR DRIVE N7776, LYFORD CAY NEW PROVIDENCE, C5 |
 |  X |  |  |
Tuesday Thirteen Inc. CAY HOUSE, EP TAYLOR DRIVE N7776, LYFORD CAY NEW PROVIDENCE, C5 |
 |  X |  |  |
LEWIS JOSEPH CAY HOUSE EP TAYLOR DRIVE N7776, LYFORD CAY NEW PROVIDENCE, C5 |
 |  X |  |  |
Boxer Capital, LLC 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO, CA 92130 |
 |  X |  |  |
Braslyn Ltd., By: /s/ Joseph C. Lewis, Director | 10/30/2018 | |
**Signature of Reporting Person | Date | |
Boxer Capital, LLC, By: /s/ Aaron I. Davis, Chief Executive Officer | 10/30/2018 | |
**Signature of Reporting Person | Date | |
Boxer Asset Management Inc., By: /s/ Jason C. Callender, Director | 10/30/2018 | |
**Signature of Reporting Person | Date | |
Tuesday Thirteen Inc., By: /s/ Joseph C. Lewis, Director | 10/30/2018 | |
**Signature of Reporting Person | Date | |
/s/ Joseph C. Lewis | 10/30/2018 | |
**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) | These securities are owned directly by Braslyn Ltd. ("Braslyn"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of (i) Braslyn, (ii) Boxer Capital, LLC ("Boxer Capital"), (iii) Boxer Asset Management Inc. ("Boxer Management"), (iv) Tuesday Thirteen Inc. ("Tuesday Thirteen") and (v) Joseph C. Lewis (collectively, the "Boxer Group"), and indirectly by Joseph C. Lewis. Each member of the Boxer Group other than Boxer Capital disclaims beneficial ownership of these securities to the extent it does not have a pecuniary interest therein. |
(2) | These securities are owned directly by Boxer Capital and indirectly by Boxer Management and Joseph C. Lewis. |
(3) | These securities are owned directly by Tuesday Thirteen and indirectly by Joseph C. Lewis. |