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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 to Purchase Common Stock (right to buy) | $ 0.03 | 08/20/2012 | X | 2,353 | (10) | 07/10/2016 | Common Stock | 2,353 | $ 0 | 0 | I | By NewcoGen-Elan LLC (1) | |||
Warrant to Purchase Common Stock (right to buy) | $ 0.02 | 08/20/2012 | X | 6,422 | (10) | 03/30/2020 | Common Stock | 6,422 | $ 0 | 0 | I | By NewcoGen-Elan LLC (1) | |||
Warrant to Purchase Common Stock (right to buy) | $ 0.02 | 08/20/2012 | X | 6,422 | (10) | 09/27/2020 | Common Stock | 6,422 | $ 0 | 0 | I | By NewcoGen-Elan LLC (1) | |||
Warrant to Purchase Common Stock (right to buy) | $ 0.02 | 08/20/2012 | X | 6,422 | (10) | 11/04/2020 | Common Stock | 6,422 | $ 0 | 0 | I | By NewcoGen-Elan LLC (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AFEYAN NOUBAR C/O FLAGSHIP VENTURES ONE MEMORIAL DRIVE, 7TH FLOOR CAMBRIDGE, MA 02142 |
X | X | ||
NewcoGen Elan LLC C/O FLAGSHIP VENTURES ONE MEMORIAL DRIVE, 7TH FLOOR CAMBRIDGE, MA 02142 |
X | |||
KANIA EDWIN M JR C/O FLAGSHIP VENTURES ONE MEMORIAL DRIVE, 7TH FLOOR CAMBRIDGE, MA 02142 |
X | |||
Flagship Ventures Management, Inc. C/O FLAGSHIP VENTURES ONE MEMORIAL DRIVE, 7TH FLOOR CAMBRIDGE, MA 02142 |
X | |||
NewcoGen Group, Inc. C/O FLAGSHIP VENTURES ONE MEMORIAL DRIVE, 7TH FLOOR CAMBRIDGE, MA 02142 |
X |
/s/ John P. Condon, Attorney-in-fact for Noubar Afeyan | 08/22/2012 | |
**Signature of Reporting Person | Date | |
/s/ John P. Condon, Attorney-in-fact for NewcoGen-Elan LLC | 08/22/2012 | |
**Signature of Reporting Person | Date | |
/s/ John P. Condon, Attorney-in-fact for Edwin M. Kania, Jr. | 08/22/2012 | |
**Signature of Reporting Person | Date | |
/s/ John P. Condon, Attorney-in-fact for Flagship Ventures Management, Inc. | 08/22/2012 | |
**Signature of Reporting Person | Date | |
/s/ John P. Condon, Attorney-in-fact for NewcoGen Group, Inc. | 08/22/2012 | |
**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) | NewcoGen Group, Inc. ("NG") is the manager of each of NewcoGen Group LLC ("NGG"), NewcoGen Equity Investors LLC ("NEI"), NewcoGen-Elan LLC ("NGE"), NewcoGen-Long Reign Holding LLC ("NGLRH") and ST NewcoGen LLC ("STN", and together with NGG, NEI, NGE and NGLRH, the "NewcoGen Funds"). NG is also the general partner of AGTC Partners, L.P., which is the general partner of AGTC Advisors Fund, L.P. ("AGTCA") and Applied Genomic Technology Capital Fund L.P. ("AGTCF", and together with AGTCA, the "AGTC Funds"). NG is a wholly-owned subsidiary of Flagship Ventures Management, Inc. ("Flagship"). Noubar Afeyan and Edwin M. Kania, Jr. are directors of Flagship and may be deemed to beneficially own the securities held by the NewcoGen Funds and the AGTC Funds. Each of Messrs. Afeyan and Kania disclaim beneficial ownership of the securities except to the extent of his pecuniary interest therein. |
(2) | On August 20, 2012, NGE exercised a warrant to purchase 2,353 shares of Common Stock for $0.03 per share. NGE exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 13 of the warrant shares to pay the exercise price and issuing to NGE the remaining 2,340 shares. |
(3) | The price reflects the average of the closing prices of the Common Stock over the five day period prior to the exercise date. |
(4) | On August 20, 2012, NGE exercised a warrant to purchase 6,422 shares of Common Stock for $0.02 per share. NGE exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 23 of the warrant shares to pay the exercise price and issuing to NGE the remaining 6,399 shares. |
(5) | On August 20, 2012, NGE exercised a warrant to purchase 6,422 shares of Common Stock for $0.02 per share. NGE exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 23 of the warrant shares to pay the exercise price and issuing to NGE the remaining 6,399 shares. |
(6) | On August 20, 2012, NGE exercised a warrant to purchase 6,422 shares of Common Stock for $0.02 per share. NGE exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 23 of the warrant shares to pay the exercise price and issuing to NGE the remaining 6,399 shares. |
(7) | In addition to the cashless exercises of the warrants reported above, this Form 4 is being filed to report an in-kind distribution for no consideration by NGE to its sole member. The beneficial ownership of the entities named in this Form 4, other than the Reporting Persons filing this Form 4, did not change as a result of this transaction. |
(8) | Noubar Afeyan and Edwin M. Kania, Jr. are managing members of OneLiberty Partners 2000, LLC, which is the general partner of OneLiberty Advisors Fund 2000 L.P. ("OLA") and OneLiberty Ventures 2000 L.P. ("OLV"), and may be deemed to beneficially own the securities held by OLA and OLV. Each of Messrs. Afeyan and Kania disclaim beneficial ownership of the securities except to the extent of his pecuniary interest therein. |
(9) | Noubar Afeyan and Edwin M. Kania, Jr. are managers of Flagship Ventures 2007 General Partner, LLC, which is the general partner of Flagship Ventures Fund 2007, L.P., and may be deemed to beneficially own the securities held by Flagship Ventures Fund 2007, L.P. Each of Messrs. Afeyan and Kania disclaim beneficial ownership of the securities except to the extent of his pecuniary interest therein. |
(10) | This warrant is immediately exercisable. |