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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 E Preferred Stock | (2) | 02/15/2011 | C | 1,047,955 | (7) | (7) | Common Stock | 1,047,955 | $ 0 | 751,556 | D (3) (4) | ||||
Series D Preferred Stock | (2) | 02/15/2011 | C | 623,531 | (8) | (8) | Common Stock | 623,531 | $ 0 | 128,025 | D (3) (4) | ||||
Series C Preferred Stock | (2) | 02/15/2011 | C | 128,025 | (8) | (8) | Common Stock | 128,025 | $ 0 | 0 | D (4) (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EDB Investments Pte Ltd. 20 BIOPOLIS WAY #09-01 CENTROS, U0 138668 |
X | |||
Biomedical Sciences Investment Fund Pte Ltd. 20 BIOPOLIS WAY #09-01 CENTROS, U0 138668 |
X | |||
SINGAPORE BIO INNOVATIONS PTE LTD 250, NORTH BRIDGE ROAD #20-02 RAFFLES CITY TOWER SINGAPORE, U0 179101 |
X |
Stephanie Sterling of Gibson, Dunn & Crutcher LLP, attorney-in-fact for EDB Investments Pte Ltd | 02/16/2011 | |
**Signature of Reporting Person | Date | |
Stephanie Sterling of Gibson, Dunn & Crutcher LLP, attorney-in-fact for Biomedical Sciences Investment Fund Pte Ltd | 02/16/2011 | |
**Signature of Reporting Person | Date | |
Stephanie Sterling of Gibson, Dunn & Crutcher LLP, attorney-in-fact for Singapore Bio Innovations Pte Ltd | 02/16/2011 | |
**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) | Represents shares of Common Stock issued upon conversion of shares of Series E Preferred Stock on a 1-for 1.300053676865 basis. |
(2) | Not applicable. |
(3) | Biomedical Sciences Investment Fund Pte Ltd is the record holder of the securities reported. |
(4) | EDB Investments Pte Ltd, or EDB Investments, is the parent entity of Biomedical Sciences Investment Fund Pte Ltd and Singapore Bio-Innovations Pte Ltd. The Economic Development Board of Singapore, or EDB, is the parent entity of EDB Investments. EDB is a Singapore government entity. EDB Investments, EDB and the Singapore government may be deemed to have shared voting and dispositive power over the shares owned beneficially and of record by Biomedical Sciences Investment Fund Pte Ltd and Singapore Bio-Innovations Pte Ltd. Jeremy Loh, one of the Issuer's directors is a Vice President (Investments), San Francisco Center for EDB Investments Pte Ltd, Singapore. Dr. Loh disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
(5) | Represents shares of Common Stock issued upon the conversion of shares of Series C Preferred Stock and Series D Preferred Stock on a 1-for-1 basis. |
(6) | Singapore Bio-Innovations Ptd Ltd is the record holder of the securities reported. |
(7) | Each share of Series E Preferred Stock converted into 1.300053676865 share of Common Stock on February 15, 2011 and has no expiration date. |
(8) | Each share of Series C Preferred Stock or Series D Preferred Stock converted into one share of Common Stock on February 15, 2011 and has no expiration date. |