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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 | |
SAINTS CAPITAL GRANITE, L.P. C/O SAINTS CAPITAL SERVICES, LLC 475 SANSOME STREET, SUITE 1850 SAN FRANCISCO, CA 94111 |
X | |||
Saints Capital Granite, LLC C/O SAINTS CAPIATL SERVICES, LLC 475 SANSOME STREET, SUITE 1850 SAN FRANCISCO, CA 94111 |
X | |||
mRNA - Holdings LLC C/O SAINTS CAPITAL SERVICES, LLC 475 SANSOME STREET, SUITE 1850 SAN FRANCISCO, CA 94111 |
X | |||
OBP (Adjunct) III - Holdings LLC C/O SAINTS CAPITAL SERVICES, LLC 475 SANSOME STREET, SUITE 1850 SAN FRANCISCO, CA 94111 |
X | |||
OBP (Bermuda) III - Holdings LLC C/O SAINTS CAPITAL SERVICES, LLC 475 SANSOME STREET, SUITE 1850 SAN FRANCISCO, CA 94111 |
X | |||
OBP III - Holdings LLC C/O SAINTS CAPITAL SERVICES, LLC 475 SANSOME STREET, SUITE 1850 SAN FRANCISCO, CA 94111 |
X |
Saints Capital Grainte, L.P., By: Saints Capital Granite, LLC, its General Partner, By: Kenneth B. Sawyer, Managing Member | 10/15/2013 | |
**Signature of Reporting Person | Date | |
Saints Capital Granite, LLC, By: Kenneth B. Sawyer, Managing Member | 10/15/2013 | |
**Signature of Reporting Person | Date | |
mRNA - Holdings LLC, By: Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of mRNA - Holdings LLC | 10/15/2013 | |
**Signature of Reporting Person | Date | |
OBP (Adjunct) III - Holdings LLC, By: Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP (Adjunct) III - Holdings LLC | 10/15/2013 | |
**Signature of Reporting Person | Date | |
OBP (Bermuda) III - Holdings LLC, By: Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP (Bermuda) III - Holdings LLC | 10/15/2013 | |
**Signature of Reporting Person | Date | |
OBP III - Holdings LLC, By: Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP III - Holdings LLC | 10/15/2013 | |
**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 shares are directly owned by mRNA - Holdings LLC ("mRNA"). Saints Capital Granite, L.P. ("Saints LP") is a member of mRNA and has voting and investment control with respect to the securities owned directly by mRNA. Saints Capital Grainte, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose. |
(2) | The shares are directly owned by OBP (Adjunct) III - Holdings LLC ("OBP (A) III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP (A) III and has voting and investment control with respect to the securities owned directly by OBP (A) III. Saints Capital Grainte, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose. |
(3) | The shares are directly owned by OBP (Bermuda) III - Holdings LLC ("OBP (B) III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP (B) III and has voting and investment control with respect to the securities owned directly by OBP (B) III. Saints Capital Grainte, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose. |
(4) | The shares are directly owned by OBP III - Holdings LLC ("OBP III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP III and has voting and investment control with respect to the securities owned directly by OBP III. Saints Capital Grainte, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose. |