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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 F Convertible Preferred Stock | (5) | 08/13/2013 | C | 3,054,236 | (5) | (5) | Common Stock | 1,745,277 | (5) | 0 | I | by Kapital Joe (2) (3) | |||
Series F Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 35,193 | $ 16 (6) | 0 | I | by Kapital Joe (2) (3) | |||
Series E Convertible Preferred Stock | (5) | 08/13/2013 | C | 5,023,770 | (5) | (5) | Common Stock | 2,870,725 | (5) | 0 | I | by Kapital Joe (2) (3) | |||
Series E Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 157,472 | $ 16 (6) | 0 | I | by Kapital Joe (2) (3) | |||
Series F Convertible Preferred Stock | (5) | 08/13/2013 | C | 3,054,236 | (5) | (5) | Common Stock | 1,745,277 | (5) | 0 | I | by Mascara Kaboom (2) (3) | |||
Series F Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 35,193 | $ 16 (6) | 0 | I | by Mascara Kaboom (2) (3) | |||
Series E Convertible Preferred Stock | (5) | 08/13/2013 | C | 4,620,071 | (5) | (5) | Common Stock | 2,640,040 | (5) | 0 | I | by Mascara Kaboom (2) (3) | |||
Series E Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 70,391 | $ 16 (6) | 0 | I | by Mascara Kaboom (2) (3) | |||
Series E Convertible Preferred Stock | (5) | 08/13/2013 | C | 190,477 | (5) | (5) | Common Stock | 108,844 | (5) | 0 | I | by Alana Czypinski (3) | |||
Series E Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 6,290 | $ 16 (6) | 0 | I | by Alana Czypinski (3) | |||
Series E Convertible Preferred Stock | (5) | 08/13/2013 | C | 2,976,756 | (5) | (5) | Common Stock | 1,701,003 | (5) | 0 | I | by R.J. Kirk DOT (2) (3) | |||
Series E Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 135,550 | $ 16 (6) | 0 | I | by R.J. Kirk DOT (2) (3) | |||
Series D Convertible Preferred Stock | (5) | 08/13/2013 | C | 4,053,784 | (5) | (5) | Common Stock | 2,316,448 | (5) | 0 | I | by R.J. Kirk DOT (2) (3) | |||
Series D Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 161,942 | $ 16 (6) | 0 | I | by R.J. Kirk DOT (2) (3) | |||
Series C Convertible Preferred Stock | (5) | 08/13/2013 | C | 656,716 | (5) | (5) | Common Stock | 375,266 | (5) | 0 | I | by R.J. Kirk DOT (2) (3) | |||
Series C Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 21,643 | $ 16 (6) | 0 | I | by R.J. Kirk DOT (2) (3) | |||
Series E Convertible Preferred Stock | (5) | 08/13/2013 | C | 3,047,620 | (5) | (5) | Common Stock | 1,741,497 | (5) | 0 | I | by NRM VI Holdings (2) (3) | |||
Series E Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 100,651 | $ 16 (6) | 0 | I | by NRM VI Holdings (2) (3) | |||
Series D Convertible Preferred Stock | (5) | 08/13/2013 | C | 4,437,870 | (5) | (5) | Common Stock | 2,535,925 | (5) | 0 | I | by NRM VI Holdings (2) (3) | |||
Series D Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 166,147 | $ 16 (6) | 0 | I | by NRM VI Holdings (2) (3) | |||
Series C-3 Convertible Preferred Stock | (5) | 08/13/2013 | C | 13,271,277 | (5) | (5) | Common Stock | 7,583,586 | (5) | 0 | I | by NRM VI Holdings (2) (3) | |||
Series C-3 Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 369,407 | $ 16 (6) | 0 | I | by NRM VI Holdings (2) (3) | |||
Series C-2 Convertible Preferred Stock | (5) | 08/13/2013 | C | 18,617,020 | (5) | (5) | Common Stock | 10,638,297 | (5) | 0 | I | by NRM V (2) (3) | |||
Series C-2 Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 704,551 | $ 16 (6) | 0 | I | by NRM V (2) (3) | |||
Series C-1 Convertible Preferred Stock | (5) | 08/13/2013 | C | 15,934,528 | (5) | (5) | Common Stock | 9,105,444 | (5) | 0 | I | by NRM V (2) (3) | |||
Series C-1 Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 655,894 | $ 16 (6) | 0 | I | by NRM V (2) (3) | |||
Series F Convertible Preferred Stock | (5) | 08/13/2013 | C | 299,532 | (5) | (5) | Common Stock | 171,161 | (5) | 0 | I | by Senior Staff 2008 (2) (3) | |||
Series F Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 2,544 | $ 16 (6) | 0 | I | by Senior Staff 2008 (2) (3) | |||
Series E Convertible Preferred Stock | (5) | 08/13/2013 | C | 1,917,360 | (5) | (5) | Common Stock | 1,095,634 | (5) | 0 | I | by Senior Staff 2008 (2) (3) | |||
Series E Convertible Preferred Stock Dividend | $ 16 (6) | 08/13/2013 | C | 0 (6) | (6) | (6) | Common Stock (6) | 87,309 | $ 16 (6) | 0 | I | by Senior Staff 2008 (2) (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KIRK RANDAL J C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD, VA 24141 |
X | X | Chief Executive Officer |
/s/ Randal J. Kirk | 08/15/2013 | |
**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) | The indicated shares were purchased in the Issuer's initial public offering. |
(2) | Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), NRM VI Holdings I, LLC ("NRM VI Holdings"), New River Management V, LP ("NRM V") and Third Security Senior Staff 2008 LLC ("Senior Staff 2008"). |
(3) | The indicated shares may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. |
(4) | The indicated shares represent the number of shares received upon conversion of the Issuer's Convertible Preferred Stock, indicated by Series in Table II. |
(5) | Effective upon the closing of the Issuer's firm commitment underwritten initial public offering of its Common Stock, the shares of Convertible Preferred Stock automatically converted at a ratio of 1.75-to-1 into the number of shares of Common Stock shown in column 7. The shares of Convertible Preferred Stock had no expiration date. |
(6) | Effective upon the closing of the Issuer's firm commitment underwritten initial public offering all accrued dividends with respect to the shares of Convertible Preferred Stock were converted into shares of Common Stock at the then current fair market value, or $16.00 per share. Payment for partial shares was issued in the form of a monetary refund by the Issuer. |