UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants | Â (2) | Â (2) | Common Stock | 250,000 | $ 3.6 | I | See Footnote (1) |
Warrants | Â (3) | Â (3) | Common Stock | 116,666 | $ 6 | I | See Footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Opaleye GP LLC 9B RUSSELL STREET CAMBRIDGE, MA 02140 |
 |  X |  |  |
James Silverman, Managing Member of Opaleye GP LLC | 01/03/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Securities reported herein for Opaleye GP LLC (the "LLC") represent common stock and warrants beneficially owned and held of record by one private investment fund, Opaleye, L.P. (the "Fund"). The LLC is the general partner of the Fund. James Silverman is the sole member and manager of the LLC. The LLC and the Fund (the "Reporting Persons") are each beneficial owners and each have an address of 9B Russell Street, Cambridge, MA 02140. The Reporting Persons disclaim beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, or otherwise of such portion of the common stock and the warrants in which the Reporting Persons have no actual pecuniary interest therein. |
(2) | These warrants are exercisable at any time and have an expiration date of February 12, 2018. |
(3) | These warrants are exercisable at any time and have an expiration date of August 16, 2018. |