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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 | ||||||||
Series E Preferred Stock | (2) | 02/15/2011 | 02/15/2011 | C | 47,400 | (7) | (7) | Common Stock | 47,400 | $ 0 | 821,508 | I | See Footnotes (3) (4) | ||
Series C Preferred Stock | (2) | 02/15/2011 | 02/15/2011 | C | 320,063 | (8) | (8) | Common Stock | 320,063 | $ 0 | 501,445 | I | See Footnotes (3) (4) | ||
Series D Preferred Stock | (2) | 02/15/2011 | 02/15/2011 | C | 66,991 | (8) | (8) | Common Stock | 66,991 | $ 0 | 434,454 | I | See Footnotes (3) (4) | ||
Series E Preferred Stock | (2) | 02/15/2011 | 02/15/2011 | C | 47,400 | (7) | (7) | Common Stock | 47,400 | $ 0 | 387,054 | I | See Footnotes (4) (6) | ||
Series C Preferred Stock | (2) | 02/15/2011 | 02/15/2011 | C | 320,063 | (8) | (8) | Common Stock | 320,063 | $ 0 | 66,991 | I | See Footnotes (4) (6) | ||
Series D Preferred Stock | (2) | 02/15/2011 | 02/15/2011 | C | 66,991 | (8) | (8) | Common Stock | 66,991 | $ 0 | 0 | I | See Footnotes (4) (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Whitaker Raymond J 45 ROCKEFELLER PLAZA, SUITE 1410 NEW YORK, NY 10111 |
X |
/s/ William Smith, attorney-in-fact | 02/15/2011 | |
**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) | Represents shares of Common Stock issued upon conversion of shares of Series E Preferred Stock on a 1-for-1.300053676865 basis. |
(2) | Not applicable. |
(3) | EuclidSR Partners, L.P., is the record holder of the securities reported. |
(4) | Mr. Whitaker, the reporting person, is a member of the Board of Directors of the Issuer and shares voting and investment power with Graham D.S. Anderson, Milton J. Pappas and Stephen K. Reidy, each of whom is a general partner of EuclidSR Associates, L.P., the general partner of EuclidSR Partners, L.P. Mr. Whitaker and each of the other general partners of EuclidSR Associates, L.P. discliams beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
(5) | Represents shares of Common Stock issued upon the conversion of shares of Series C Preferred Stock or Series D Preferred Stock on a 1-for-1 basis. |
(6) | EuclidSR Biotechnology Partners, L.P. is the record holder of the securities reported. |
(7) | Each share of Series E Preferred Stock automatically converted into 1.300053676865 share of Common Stock on February 15, 2011, the closing date of the Issuer's initial public offering (the "Closing") and has no expiration date. |
(8) | Each share of Series C Preferred Stock or Series D Preferred Stock automatically converted into one share of Common Stock on the Closing and has no expiration date. |