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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 | |
TANG KEVIN C 4747 EXECUTIVE DRIVE, SUITE 510 SAN DIEGO, CA 92121 |
X | X | ||
TANG CAPITAL PARTNERS LP 4747 EXECUTIVE DRIVE, SUITE 510 SAN DIEGO, CA 92121 |
X | |||
TANG CAPITAL MANAGEMENT LLC 4747 EXECUTIVE DRIVE, SUITE 510 SAN DIEGO, CA 92121 |
X |
/s/ Kevin Tang | 01/09/2019 | |
**Signature of Reporting Person | Date | |
/s/ Kevin Tang, Managing Member of Tang Capital Management, LLC, General Partner | 01/09/2019 | |
**Signature of Reporting Person | Date | |
/s/ Kevin Tang, Managing Member | 01/09/2019 | |
**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 prices reported in Column 4 are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $5.71 to $5.99. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the SEC Staff, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in footnotes 1 and 3 through 9 herein. |
(2) | The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC, which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP. |
(3) | The prices reported in Column 4 are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $5.04 to $5.72. |
(4) | The prices reported in Column 4 are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $5.10 to $5.43. |
(5) | The prices reported in Column 4 are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $5.12 to $5.32. |
(6) | The prices reported in Column 4 are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $5.25 to $5.48. |
(7) | The prices reported in Column 4 are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $5.29 to $5.50. |
(8) | The prices reported in Column 4 are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $5.40 to $5.47. |
(9) | The prices reported in Column 4 are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $5.44 to $5.64. |