ZIOPHARM ONCOLOGY, INC.
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(Name of Issuer)
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Common Stock, par value $0.01 per share
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(Title of Class of Securities)
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98973P101
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(CUSIP Number)
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(540) 633-7900 |
(Name, Address and Telephone Number of Person
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(804) 697-1239
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December 11, 2018
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(Date of Event which Requires Filing of this Statement)
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CUSIP No. 98973P101
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Page 2 of 5
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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RANDAL J. KIRK
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☒
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
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NA
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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7,962,377
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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7,962,377
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10
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SHARED DISPOSITIVE POWER
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0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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7,962,377
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12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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4.9%
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14
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TYPE OF REPORTING PERSON
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IN
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CUSIP No. 98973P101
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Page 3 of 5
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Item 4.
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Purpose of Transaction.
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Item 5. |
Interest in Securities of the Issuer.
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CUSIP No. 98973P101
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Page 4 of 5
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Reporting Person
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Amount of
Common Stock
Beneficially
Owned
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Percent
of Class
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Sole Power
to Vote or
Direct
the Vote
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Shared
Power to
Vote or
Direct
the Vote
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Sole Power to
Dispose or to
Direct the
Disposition
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Shared Power to
Dispose or to
Direct the
Disposition
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Randal J. Kirk(1)
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7,962,377
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4.9%
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7,962,377
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--
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7,962,377
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--
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(1)
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Includes shares of Common Stock held by the following affiliates of Mr. Kirk: R.J. Kirk Declaration of Trust (2,835,597), JPK 2008, LLC (19,028), MGK 2008, LLC
(19,153), ZSK 2008, LLC (33,376), Lotus Capital (2000) Company, Inc. (194), JPK 2009, LLC (274,893), MGK 2009, LLC (292,049), ZSK 2009, LLC (27,965), ADC 2010, LLC (23,685), MGK 2011, LLC (125,642), JPK 2012, LLC (113,253), Kellie
L. Banks (2009) Long Term Trust (49,924), Kapital Joe, LLC (1,922,850), Mascara Kaboom, LLC (724,868), Third Security Staff 2001 LLC (43,390), Third Security Senior Staff LLC (7,772), Third Security Senior Staff 2007 LLC
(287,234), Third Security Staff 2007 LLC (143,615), Third Security Incentive 2007 LLC (47,872), Third Security Senior Staff 2008 LLC (322,532), Third Security Staff 2009 LLC (141,068), Third Security Incentive 2009 LLC (70,536),
Third Security Staff 2010 LLC (181,463) and Third Security Incentive 2010 LLC (90,730) (collectively, the “Affiliated Entities”).
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CUSIP No. 98973P101
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Page 5 of 5
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Date: December 12, 2018
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/s/ Randal J. Kirk
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Randal J. Kirk
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