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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 Following Reported Transaction(s) (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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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (right to purchase) | $ 7.86 | 10/03/2017 | X | 189,780 | 11/21/2012 | 11/21/2017 | Common Stock | 189,780 | $ 0 | 0 | D | ||||
Warrant (right to purchase) | $ 7.86 | 10/03/2017 | X | 78,186 | 11/21/2012 | 11/21/2017 | Common Stock | 78,186 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Boxer Capital, LLC 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO, CA 92130 |
X | |||
Braslyn Ltd. CAY HOUSE, EP TAYLOR DRIVE LYFORD CAY, NEW PROVIDENCE, C5 N7776 |
X | |||
LEWIS JOSEPH C/O CAY HOUSE P.O. BOX N-7776 E.P. TAYLOR DRIVE LYFORD CAY NEW PROVIDENCE, C5 |
X | |||
Fuglesang Christopher 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO, CA 92130 |
X | |||
LAPPE RODNEY W 4660 LA JOLLA VILLAGE DRIVE, SUITE 500 SAN DIEGO, CA 92121 |
X | X | ||
LIEBERBURG IVAN M 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO, CA 92130 |
X | |||
Reisman Neil 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO, CA 92130 |
X | X | ||
Dissanayake Shehan Bharatha 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO, CA 92130 |
X | |||
Davis Aaron I. 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO, CA 92130 |
X | |||
MVA Investors, LLC 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO, CA 92130 |
X |
Boxer Capital, LLC, By: /s/ Aaron I Davis, Aaron I. Davis | 10/03/2017 | |
**Signature of Reporting Person | Date | |
MVA Investors, LLC, By: /s/ Aaron I. Davis, Aaron I. Davis | 10/03/2017 | |
**Signature of Reporting Person | Date | |
Braslyn Ltd., By: /s/ Jason Callender, Jason Callender | 10/03/2017 | |
**Signature of Reporting Person | Date | |
Joseph C. Lewis, By: /s/ Joseph C. Lewis, Joseph C. Lewis | 10/03/2017 | |
**Signature of Reporting Person | Date | |
Christopher Fuglesang, By: /s/ Christopher Fuglesang, Christopher Fuglesang | 10/03/2017 | |
**Signature of Reporting Person | Date | |
Rodney W. Lappe, By: /s/ Rodney W. Lappe, Rodney W. Lappe | 10/03/2017 | |
**Signature of Reporting Person | Date | |
Ivan M. Lieberburg, By: /s/ Ivan M. Lieberburg, Ivan M. Lieberburg | 10/03/2017 | |
**Signature of Reporting Person | Date | |
Neil Reisman, By: /s/ Neil Reisman, Neil Reisman | 10/03/2017 | |
**Signature of Reporting Person | Date | |
Shehan B. Dissanayake, By: /s/ Shehan B. Dissanayake, Shehan B. Dissanayake | 10/03/2017 | |
**Signature of Reporting Person | Date | |
Aaron I. Davis, By: /s/ Aaron I. Davis, Aaron I. Davis | 10/03/2017 | |
**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) | These securities are owned directly by Boxer Capital, LLC ("Boxer Capital"), 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) Boxer Capital, (ii) Boxer Asset Management Inc., (iii) MVA Investors, LLC ("MVA Investors"), (iv) Braslyn Ltd., (v) Joe Lewis, (vi) Christopher Fuglesang, (vii) Rodney W. Lappe, (viii) Ivan M. Lieberburg, (ix) Neil Reisman, (x) Shehan B. Dissanayake, and (xi) Aaron I. Davis (collectively, the "Boxer Group"). Joseph C. Lewis is the sole indirect beneficial owner of and controls Braslyn Ltd. |
(2) | These securities are owned directly and solely by MVA Investors, which has sole voting and dispositive power with respect to these securities. Each of Messrs. Fuglesang, Lieberburg, Reisman, Dissanayake and Davis is a member of MVA Investors. Each member of the Boxer Group other than MVA Investors disclaims beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein. |
Remarks: Form 1 of 2 Because the number of Reporting Persons exceeds the Form 4 limit, additional Reporting Persons are included on another Form 4 filed on the same date. |