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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 | |
GIMV NV KAREL OOMSSTRAAT 34 ANTWERP, C9 2018 |
Former 10% owner | |||
ADVIESBEHEER GIMV LIFE SCIENCES NV KAREL OOMSSTRAAT 34 ANTWERP, C9 2018 |
Former 10% owner | |||
Biotech Fonds Vlaanderen NV KAREL OOMSSTRAAT 34 ANTWERP, C9 2018 |
Former 10% owner |
Koen Dejonckheere as CEO of Gimv NV | 10/01/2009 | |
**Signature of Reporting Person | Date | |
Patrick Van Beneden as EVP of Gimv NV | 10/01/2009 | |
**Signature of Reporting Person | Date | |
Koen Dejonckheere as director of Adviesbeheer Gimv Life Sciences NV | 10/01/2009 | |
**Signature of Reporting Person | Date | |
Patrick Van Beneden as director of Adviesbeheer Gimv Life Sciences NV | 10/01/2009 | |
**Signature of Reporting Person | Date | |
Koen Dejonckheere as director of Biotech Fonds Vlaanderen NV | 10/01/2009 | |
**Signature of Reporting Person | Date | |
Patrick Van Beneden as director of Biotech Fonds Vlaanderen NV | 10/01/2009 | |
**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) | Price reflected is the weighted-average sale price for the Torreypines Therapeutics shares sold. The range of sale prices for the transactions reported was $0.2700 to $0.2770 per share. The reporting persons undertake to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each seperate price. |
(2) | The reported securities are directly held by Gimv NV. The reporting person on this Form 4 disclaims beneficial ownership of the reported securities except to the extent of his pecuniary intrest herein. |
(3) | The reported securities are directly held by Adviesbeheer Gimv Life Sciences NV. The reporting person on this Form 4 disclaims beneficial ownership of the reported securities except to the extent of his pecuniary intrest herein. |
(4) | The reported securities are directly held by Biotech Fonds Vlaanderen NV. The reporting person on this Form 4 disclaims beneficial ownership of the reported securities except to the extent of his pecuniary intrest herein. |
(5) | Price reflected is the weighted-average sale price for the Torreypines Therapeutics shares sold. The range of sale prices for the transactions reported was $0.2600 to $0.2800 per share. The reporting persons undertake to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each seperate price. |
(6) | Price reflected is the weighted-average sale price for the Torreypines Therapeutics shares sold. The range of sale prices for the transactions reported was $0.2500 to $0.2550 per share. The reporting persons undertake to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each seperate price. |
Remarks: This report is filed jointly by Gimv NV, Adviesbeheer Gimv Life Sciences NV, and Biotech Fonds Vlaanderen NV, as members of a Section 13(d) "Group". All reported sold securities are Torreypines Therapeutics Inc. shares that are sold before the merger with Raptor Pharmaceuticals Corp. |