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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Boxer Asset Management Inc. C/O CAY HOUSE, P.O. BOX N-7776 E.P. TAYLOR DRIVE LYFORD CAY NEW PROVIDENCE, C5 |
X |
Boxer Asset Management Inc., By: /s/ Jefferson Voss | 03/17/2016 | |
**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) | Reflects 375,298 shares received by Boxer Asset Management Inc. ("Boxer Management") in connection with the transfer by Boxer Capital, LLC ("Boxer Capital") on March 16, 2016 of 474,158 shares of the common stock of the issuer, pro rata for no consideration as part of an internal reorganization that was exempt under Rule 16a-9. On March 17, 2016, Boxer Management transferred 375,298 shares of the common stock of the issuer to Braslyn Ltd. ("Braslyn") for no consideration as part of an internal reorganization. |
(2) | These securities are owned directly by Boxer Management, who 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) the reporting person, (iii) MVA Investors, LLC, (iv) Braslyn, (v) Joe Lewis, (vi) Christopher Fuglesang, (vii) Rodney W. Lappe, (viii) Ivan M. Lieberburg, (ix) Neil Reisman, (x) Shehan B. Dissanayake, (xi) Peter E. Harwin, and (xii) William N. Harwin 2012 Gift Trust F/B/O Peter Harwin. |
(3) | These securities are owned directly by Boxer Capital, and indirectly by Boxer Management and Joe Lewis, by virtue of their ownership in Boxer Capital. The reporting person disclaims beneficial ownership of these securities to the extent it does not have a pecuniary interest therein. |