organization · Reporting owner
Deerfield Special Situations Fund, L.P.
Disclosed activity across 19 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GYRE THERAPEUTICS, INC.CBIO · Entity 5247 | 10% owner · Possible Member of 10% Group | March 06, 2018 | March 21, 2018 |
| Mirum Pharmaceuticals, Inc.MIRM · Entity 2416 | 10% owner · * Possible Member of 10% Group | July 09, 2021 | July 13, 2021 |
| Protara Therapeutics, Inc.PRTO · Entity 6203 | Director · *Director by Deputization | August 02, 2017 | August 04, 2017 |
| XERIS PHARMACEUTICALS INCXERS · Entity 134906 | 10% owner · Possible Member of 10% Group | February 08, 2019 | February 12, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GYRE THERAPEUTICS, INC.
Report date March 06, 2018 · Filed March 21, 2018 · Amendment
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., DEERFIELD PARTNERS, L.P.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 807,257 |
Last balance in matching sequence
After 2018-03-08 transaction · row 9
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2018-03-06 · Sale · Disposed 9,544 · Balance 849,763 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.75 to $30.50, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Row 3 · 2018-03-06 · Sale · Disposed 28,498 · Balance 821,265 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.00 to $31.21, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Row 5 · 2018-03-07 · Sale · Disposed 7,252 · Balance 814,013 F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Row 7 · 2018-03-08 · Sale · Disposed 866 · Balance 813,147 F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Row 9 · 2018-03-08 · Sale · Disposed 5,890 · Balance 807,257 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.00 to $29.75, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 305,965 |
Last balance in matching sequence
After 2018-03-08 transaction · row 10
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 2 · 2018-03-06 · Sale · Disposed 3,617 · Balance 322,076 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.75 to $30.50, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Row 4 · 2018-03-06 · Sale · Disposed 10,802 · Balance 311,274 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.00 to $31.21, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Row 6 · 2018-03-07 · Sale · Disposed 2,748 · Balance 308,526 F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Row 8 · 2018-03-08 · Sale · Disposed 328 · Balance 308,198 F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Row 10 · 2018-03-08 · Sale · Disposed 2,233 · Balance 305,965 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.00 to $29.75, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.75 to $30.50, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.00 to $31.21, inclusive.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.00 to $29.75, inclusive.
F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
F6: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged.
Mirum Pharmaceuticals, Inc.
Report date July 09, 2021 · Filed July 13, 2021
Jointly reported with Flynn James E, Deerfield Mgmt HIF, L.P., Deerfield Mgmt IV, L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Private Design Fund IV, L.P., Deerfield Healthcare Innovations Fund, L.P., Deerfield Mgmt L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2021-07-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-07-09 · Sale · Disposed 99,325 · Balance 0 F1: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.81 to $15.91, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. ("Deerfield Special Situations"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund IV and Deerfield Special Situations, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Healthcare Innovations Fund, L.P. | 1,558,456 |
Reported balance
Holding disclosure · report date 2021-07-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,558,456 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. ("Deerfield Special Situations"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund IV and Deerfield Special Situations, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund IV, L.P. | 1,724,456 |
Reported balance
Holding disclosure · report date 2021-07-09 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,724,456 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. ("Deerfield Special Situations"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund IV and Deerfield Special Situations, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.81 to $15.91, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. ("Deerfield Special Situations"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund IV and Deerfield Special Situations, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Protara Therapeutics, Inc.
Report date August 02, 2017 · Filed August 04, 2017
Jointly reported with Flynn James E, Deerfield Private Design Fund III, L.P., Deerfield International Master Fund, L.P., DEERFIELD PARTNERS, L.P., Deerfield Private Design Fund IV, L.P., Deerfield Mgmt L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., DEERFIELD MANAGEMENT COMPANY, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund III, L.P. | 877,799 |
Reported balance
Holding disclosure · report date 2017-08-02 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 877,799 F1: This Form 3 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Special Situations Fund, L.P. ("DSS Fund"), Deerfield International Master Fund, L.P. ("Master Fund") and Deerfield Partners, L.P. ("Deerfield Partners"). F2: Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Deerfield Private Design Fund IV" and collectively with Fund III, DSS Fund, Master Fund and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of each of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P. ("Deerfield Management") and Deerfield Mgmt IV, L.P. In accordance with Instruction 5(b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. F3: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 149,676 |
Reported balance
Holding disclosure · report date 2017-08-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 149,676 F1: This Form 3 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Special Situations Fund, L.P. ("DSS Fund"), Deerfield International Master Fund, L.P. ("Master Fund") and Deerfield Partners, L.P. ("Deerfield Partners"). F2: Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Deerfield Private Design Fund IV" and collectively with Fund III, DSS Fund, Master Fund and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of each of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P. ("Deerfield Management") and Deerfield Mgmt IV, L.P. In accordance with Instruction 5(b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. F3: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield International Master Fund, L.P. | 110,557 |
Reported balance
Holding disclosure · report date 2017-08-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 110,557 F1: This Form 3 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Special Situations Fund, L.P. ("DSS Fund"), Deerfield International Master Fund, L.P. ("Master Fund") and Deerfield Partners, L.P. ("Deerfield Partners"). F2: Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Deerfield Private Design Fund IV" and collectively with Fund III, DSS Fund, Master Fund and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of each of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P. ("Deerfield Management") and Deerfield Mgmt IV, L.P. In accordance with Instruction 5(b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. F3: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 86,867 |
Reported balance
Holding disclosure · report date 2017-08-02 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 86,867 F1: This Form 3 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Special Situations Fund, L.P. ("DSS Fund"), Deerfield International Master Fund, L.P. ("Master Fund") and Deerfield Partners, L.P. ("Deerfield Partners"). F2: Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Deerfield Private Design Fund IV" and collectively with Fund III, DSS Fund, Master Fund and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of each of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P. ("Deerfield Management") and Deerfield Mgmt IV, L.P. In accordance with Instruction 5(b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. F3: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Private Design Fund IV, L.P. | Not disclosed |
Reported balance
Holding disclosure · report date 2017-08-02 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F4: Each share of Series A Convertible Preferred Stock, par value $0.001 per share (the "Preferred Stock"), of the Issuer is convertible, at any time at the option of the holder of such share of Preferred Stock, into approximately 1,005 shares of the Issuer's Common Stock, par value $0.001 per share, at a conversion price of $0.9949 per share, subject to adjustment for any stock splits, stock dividends and similar events in accordance with the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock of the Issuer, dated August 1, 2017. F1: This Form 3 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Special Situations Fund, L.P. ("DSS Fund"), Deerfield International Master Fund, L.P. ("Master Fund") and Deerfield Partners, L.P. ("Deerfield Partners"). F2: Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Deerfield Private Design Fund IV" and collectively with Fund III, DSS Fund, Master Fund and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of each of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P. ("Deerfield Management") and Deerfield Mgmt IV, L.P. In accordance with Instruction 5(b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. F3: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Special Situations Fund, L.P. ("DSS Fund"), Deerfield International Master Fund, L.P. ("Master Fund") and Deerfield Partners, L.P. ("Deerfield Partners").
F2: Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Deerfield Private Design Fund IV" and collectively with Fund III, DSS Fund, Master Fund and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of each of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P. ("Deerfield Management") and Deerfield Mgmt IV, L.P. In accordance with Instruction 5(b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein.
F3: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
F4: Each share of Series A Convertible Preferred Stock, par value $0.001 per share (the "Preferred Stock"), of the Issuer is convertible, at any time at the option of the holder of such share of Preferred Stock, into approximately 1,005 shares of the Issuer's Common Stock, par value $0.001 per share, at a conversion price of $0.9949 per share, subject to adjustment for any stock splits, stock dividends and similar events in accordance with the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock of the Issuer, dated August 1, 2017.
XERIS PHARMACEUTICALS INC
Report date February 08, 2019 · Filed February 12, 2019
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Mgmt III, L.P., Deerfield Private Design Fund III, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 856,470 |
Last balance in matching sequence
After 2019-02-11 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-02-08 · Sale · Disposed 5,890 · Balance 857,821 F1: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.00 to $15.25, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 2 · 2019-02-11 · Sale · Disposed 1,351 · Balance 856,470 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund III, L.P. | 1,498,666 |
Reported balance
Holding disclosure · report date 2019-02-08 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,498,666 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.00 to $15.25, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Past disclosures · reporting ended (15)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AERIE PHARMACEUTICALS INC
Report date July 23, 2018 · Filed July 23, 2018
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Mgmt III, L.P., Deerfield Private Design Fund III, L.P., DEERFIELD PARTNERS, L.P.
Section 16 reporting ended · disclosed 2018-07-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund III, L.P. | 2,675,638 |
Reported balance
Holding disclosure · report date 2018-07-23 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,675,638 F1: This Statement of Changes in Beneficial Ownership is being filed by the Reporting Persons (as defined below) to report changes in beneficial ownership that resulted from each Fund (as defined below) closing short positions that were established prior to the Reporting Persons becoming subject to the reporting requirements of Section 16 of the Securities Exchange Act of 1934, as amended, with respect to the securities of the Issuer by delivering shares to applicable broker(s). Upon the closing of such short positions, the Reporting Persons ceased to be subject to such reporting requirements with respect to securities of the Issuer. F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 1,027,056 |
Reported balance
Holding disclosure · report date 2018-07-23 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,027,056 F1: This Statement of Changes in Beneficial Ownership is being filed by the Reporting Persons (as defined below) to report changes in beneficial ownership that resulted from each Fund (as defined below) closing short positions that were established prior to the Reporting Persons becoming subject to the reporting requirements of Section 16 of the Securities Exchange Act of 1934, as amended, with respect to the securities of the Issuer by delivering shares to applicable broker(s). Upon the closing of such short positions, the Reporting Persons ceased to be subject to such reporting requirements with respect to securities of the Issuer. F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 188,357 |
Reported balance
Holding disclosure · report date 2018-07-23 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 188,357 F1: This Statement of Changes in Beneficial Ownership is being filed by the Reporting Persons (as defined below) to report changes in beneficial ownership that resulted from each Fund (as defined below) closing short positions that were established prior to the Reporting Persons becoming subject to the reporting requirements of Section 16 of the Securities Exchange Act of 1934, as amended, with respect to the securities of the Issuer by delivering shares to applicable broker(s). Upon the closing of such short positions, the Reporting Persons ceased to be subject to such reporting requirements with respect to securities of the Issuer. F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: This Statement of Changes in Beneficial Ownership is being filed by the Reporting Persons (as defined below) to report changes in beneficial ownership that resulted from each Fund (as defined below) closing short positions that were established prior to the Reporting Persons becoming subject to the reporting requirements of Section 16 of the Securities Exchange Act of 1934, as amended, with respect to the securities of the Issuer by delivering shares to applicable broker(s). Upon the closing of such short positions, the Reporting Persons ceased to be subject to such reporting requirements with respect to securities of the Issuer.
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
ARVINAS, INC.
Report date October 01, 2018 · Filed October 01, 2018
Jointly reported with Flynn James E, Deerfield Mgmt L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Private Design Fund III, L.P., Deerfield Private Design Fund IV, L.P.
Section 16 reporting ended · disclosed 2018-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 411,245 |
Last balance in matching sequence
After 2018-10-01 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-10-01 · Conversion · Acquired 307,078 · Balance 307,078 F1: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 4 · 2018-10-01 · Purchase · Acquired 104,167 · Balance 411,245 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund III, L.P. | 411,245 |
Last balance in matching sequence
After 2018-10-01 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2018-10-01 · Conversion · Acquired 307,078 · Balance 307,078 F1: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 5 · 2018-10-01 · Purchase · Acquired 104,167 · Balance 411,245 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund IV, L.P. | 411,244 |
Last balance in matching sequence
After 2018-10-01 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2018-10-01 · Conversion · Acquired 307,078 · Balance 307,078 F1: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 6 · 2018-10-01 · Purchase · Acquired 104,166 · Balance 411,244 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Private Design Fund III, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-10-01 · Conversion · Disposed 998,004 · Balance 0 F1: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Private Design Fund IV, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-10-01 · Conversion · Disposed 998,004 · Balance 0 F1: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-10-01 · Conversion · Disposed 998,004 · Balance 0 F1: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
AVADEL PHARMACEUTICALS PLC
Report date June 25, 2018 · Filed June 25, 2018
Jointly reported with Flynn James E, DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Private Design Fund II, L.P., Deerfield Mgmt L.P., Deerfield Private Design International II, L.P., Breaking Stick Holdings, LLC
Section 16 reporting ended · disclosed 2018-06-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| American Depositary SharesSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 952,265 |
Reported balance
After 2018-06-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-25 · Sale · Disposed 114,034 · Balance 952,265 F1: Each American Depositary Share ("ADS") represents one Ordinary Share of the Issuer. F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.635 to $6.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds and is the manager of Breaking Stick Holdings, LLC. Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. are members of Breaking Stick Holdings, LLC. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| American Depositary SharesSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund II, L.P. | 987,677 |
Reported balance
Holding disclosure · report date 2018-06-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 987,677 F1: Each American Depositary Share ("ADS") represents one Ordinary Share of the Issuer. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds and is the manager of Breaking Stick Holdings, LLC. Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. are members of Breaking Stick Holdings, LLC. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| American Depositary SharesSEC Table I · non-derivative | IndirectThrough Deerfield Private Design International II, L.P. | 1,131,802 |
Reported balance
Holding disclosure · report date 2018-06-25 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,131,802 F1: Each American Depositary Share ("ADS") represents one Ordinary Share of the Issuer. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds and is the manager of Breaking Stick Holdings, LLC. Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. are members of Breaking Stick Holdings, LLC. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| American Depositary SharesSEC Table I · non-derivative | IndirectThrough Breaking Stick Holdings, LLC | 602,762 |
Reported balance
Holding disclosure · report date 2018-06-25 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 602,762 F1: Each American Depositary Share ("ADS") represents one Ordinary Share of the Issuer. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds and is the manager of Breaking Stick Holdings, LLC. Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. are members of Breaking Stick Holdings, LLC. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Each American Depositary Share ("ADS") represents one Ordinary Share of the Issuer.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.635 to $6.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4.
F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds and is the manager of Breaking Stick Holdings, LLC. Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. are members of Breaking Stick Holdings, LLC. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Aclaris Therapeutics, Inc.
Report date June 27, 2019 · Filed July 01, 2019
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., DEERFIELD PARTNERS, L.P.
Section 16 reporting ended · disclosed 2019-07-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 964,101 |
Reported balance
After 2019-06-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-27 · Sale · Disposed 108,674 · Balance 964,101 F1: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.50 to $2.98, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 3,159,165 |
Reported balance
After 2019-06-27 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-06-27 · Sale · Disposed 590,801 · Balance 3,159,165 F1: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.50 to $2.98, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.50 to $2.98, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
CAS MEDICAL SYSTEMS INC
Report date January 24, 2017 · Filed January 26, 2017
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P.
Section 16 reporting ended · disclosed 2017-01-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 2,358,636 |
Last balance in matching sequence
After 2017-01-26 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2017-01-24 · Sale · Disposed 47,320 · Balance 2,947,554 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.50 to $1.55, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 2 · 2017-01-25 · Sale · Disposed 71,468 · Balance 2,876,086 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.50 to $1.51, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 3 · 2017-01-26 · Sale · Disposed 517,450 · Balance 2,358,636 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.45 to $1.52, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.50 to $1.55, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.50 to $1.51, inclusive.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.45 to $1.52, inclusive.
F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
CONSTELLATION PHARMACEUTICALS INC
Report date July 23, 2018 · Filed July 23, 2018
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P.
Section 16 reporting ended · disclosed 2018-07-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 835,843 |
Last balance in matching sequence
After 2018-07-23 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-07-23 · Conversion · Acquired 635,843 · Balance 635,843 F1: Each share of Series F Preferred Stock automatically converted into 0.090834772 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-11.009 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 2 · 2018-07-23 · Purchase · Acquired 200,000 · Balance 835,843 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series F Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2018-07-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-07-23 · Conversion · Disposed 7,000,000 · Balance 0 F1: Each share of Series F Preferred Stock automatically converted into 0.090834772 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-11.009 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series F Preferred Stock automatically converted into 0.090834772 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-11.009 reverse stock split effected by the Issuer in connection with its initial public offering).
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Cabaletta Bio, Inc.
Report date October 24, 2019 · Filed October 30, 2019
Jointly reported with Flynn James E, Deerfield Mgmt IV, L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Private Design Fund IV, L.P., Deerfield Mgmt L.P., DEERFIELD PARTNERS, L.P.
Section 16 reporting ended · disclosed 2019-10-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 464,253 |
Reported balance
After 2019-10-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-10-29 · Conversion · Acquired 464,253 · Balance 464,253 F1: Each share of Series B Preferred Stock automatically converted into 0.66666667 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-1.5 reverse stock split of the Issuer's common stock effected by the Issuer on October 16, 2019). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund IV, L.P. | 464,253 |
Reported balance
After 2019-10-29 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-10-29 · Conversion · Acquired 464,253 · Balance 464,253 F1: Each share of Series B Preferred Stock automatically converted into 0.66666667 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-1.5 reverse stock split of the Issuer's common stock effected by the Issuer on October 16, 2019). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 700,000 |
Reported balance
After 2019-10-29 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-10-29 · Purchase · Acquired 700,000 · Balance 700,000 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Private Design Fund IV, L.P. | 0 |
Reported balance
After 2019-10-29 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-10-29 · Conversion · Disposed 696,379 · Balance 0 F1: Each share of Series B Preferred Stock automatically converted into 0.66666667 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-1.5 reverse stock split of the Issuer's common stock effected by the Issuer on October 16, 2019). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2019-10-29 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-10-29 · Conversion · Disposed 696,379 · Balance 0 F1: Each share of Series B Preferred Stock automatically converted into 0.66666667 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-1.5 reverse stock split of the Issuer's common stock effected by the Issuer on October 16, 2019). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock automatically converted into 0.66666667 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-1.5 reverse stock split of the Issuer's common stock effected by the Issuer on October 16, 2019).
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Invuity, Inc.
Report date December 12, 2016 · Filed December 14, 2016
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P.
Section 16 reporting ended · disclosed 2016-12-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 1,690,498 |
Last balance in matching sequence
After 2016-12-14 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2016-12-12 · Sale · Disposed 68,055 · Balance 1,807,239 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.2628 to $6.6050, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 2 · 2016-12-13 · Sale · Disposed 71,173 · Balance 1,736,066 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.0000 to $6.2338, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 3 · 2016-12-14 · Sale · Disposed 45,568 · Balance 1,690,498 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.0000 to $6.1250, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.2628 to $6.6050, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.0000 to $6.2338, inclusive.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.0000 to $6.1250, inclusive.
F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Kiniksa Pharmaceuticals International, plc
Report date May 29, 2018 · Filed May 31, 2018
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., DEERFIELD PARTNERS, L.P.
Section 16 reporting ended · disclosed 2018-05-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 383,538 |
Reported balance
After 2018-05-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-29 · Conversion · Acquired 383,538 · Balance 383,538 F1: Each share of Series C Preferred Stock converted into one share of the Issuer's Class A Common Stock upon the closing of the Issuer's initial public offering. The number of shares reported herein gives effect to the 1-for-2.73235 reverse stock split of the Issuer's common stock and preferred stock effected by the Issuer in connection with its initial public offering. F5: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F6: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Class A Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 843,352 |
Last balance in matching sequence
After 2018-05-29 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 2 · 2018-05-29 · Purchase · Acquired 333,333 · Balance 333,333 F5: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F6: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 3 · 2018-05-29 · Purchase · Acquired 250,000 · Balance 583,333 F2: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $19.30 to $20.00, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (2), (3) and (4) of this Form 4. F5: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F6: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 4 · 2018-05-29 · Purchase · Acquired 25,000 · Balance 608,333 F3: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $20.78 to $21.00, inclusive. F5: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F6: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 5 · 2018-05-29 · Purchase · Acquired 235,019 · Balance 843,352 F4: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $19.00 to $19.255, inclusive. F5: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F6: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2018-05-29 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-05-29 · Conversion · Disposed 383,538 · Balance 0 F1: Each share of Series C Preferred Stock converted into one share of the Issuer's Class A Common Stock upon the closing of the Issuer's initial public offering. The number of shares reported herein gives effect to the 1-for-2.73235 reverse stock split of the Issuer's common stock and preferred stock effected by the Issuer in connection with its initial public offering. F5: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F6: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series C Preferred Stock converted into one share of the Issuer's Class A Common Stock upon the closing of the Issuer's initial public offering. The number of shares reported herein gives effect to the 1-for-2.73235 reverse stock split of the Issuer's common stock and preferred stock effected by the Issuer in connection with its initial public offering.
F2: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $19.30 to $20.00, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (2), (3) and (4) of this Form 4.
F3: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $20.78 to $21.00, inclusive.
F4: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $19.00 to $19.255, inclusive.
F5: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of each of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F6: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Korro Bio, Inc.
Report date October 07, 2019 · Filed October 07, 2019
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Mgmt IV, L.P., Deerfield Private Design Fund IV, L.P., DEERFIELD PARTNERS, L.P.
Section 16 reporting ended · disclosed 2019-10-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 472,860 |
Reported balance
After 2019-10-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-10-07 · Conversion · Acquired 472,860 · Balance 472,860 F1: Each share of Series C Preferred Stock automatically converted into 0.148467077 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-6.7355 reverse stock split of the Issuer's common stock effected by the Issuer on September 20, 2019). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund IV, L.P. | 472,860 |
Reported balance
After 2019-10-07 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-10-07 · Conversion · Acquired 472,860 · Balance 472,860 F1: Each share of Series C Preferred Stock automatically converted into 0.148467077 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-6.7355 reverse stock split of the Issuer's common stock effected by the Issuer on September 20, 2019). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 285,714 |
Reported balance
After 2019-10-07 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-10-07 · Purchase · Acquired 285,714 · Balance 285,714 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Private Design Fund IV, L.P. | 0 |
Reported balance
After 2019-10-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-10-07 · Conversion · Disposed 3,184,948 · Balance 0 F1: Each share of Series C Preferred Stock automatically converted into 0.148467077 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-6.7355 reverse stock split of the Issuer's common stock effected by the Issuer on September 20, 2019). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2019-10-07 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-10-07 · Conversion · Disposed 3,184,948 · Balance 0 F1: Each share of Series C Preferred Stock automatically converted into 0.148467077 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-6.7355 reverse stock split of the Issuer's common stock effected by the Issuer on September 20, 2019). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series C Preferred Stock automatically converted into 0.148467077 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-6.7355 reverse stock split of the Issuer's common stock effected by the Issuer on September 20, 2019).
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
RHYTHM PHARMACEUTICALS, INC.
Report date October 10, 2017 · Filed October 10, 2017
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Mgmt III, L.P., Deerfield Private Design Fund III, L.P.
Section 16 reporting ended · disclosed 2017-10-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund III, L.P. | 468,505 |
Last balance in matching sequence
After 2017-10-10 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-10-10 · Conversion · Acquired 291,005 · Balance 291,005 F1: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 3 · 2017-10-10 · Purchase · Acquired 177,500 · Balance 468,505 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 468,505 |
Last balance in matching sequence
After 2017-10-10 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2017-10-10 · Conversion · Acquired 291,005 · Balance 291,005 F1: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 4 · 2017-10-10 · Purchase · Acquired 177,500 · Balance 468,505 F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Private Design Fund III, L.P. | 0 |
Reported balance
After 2017-10-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-10-10 · Conversion · Disposed 2,668,518 · Balance 0 F1: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2017-10-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-10-10 · Conversion · Disposed 2,668,518 · Balance 0 F1: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering).
F2: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F3: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Shockwave Medical, Inc.
Report date March 11, 2019 · Filed March 11, 2019
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield Mgmt III, L.P., Deerfield Private Design Fund III, L.P.
Section 16 reporting ended · disclosed 2019-03-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund III, L.P. | 132,740 |
Reported balance
After 2019-03-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-03-11 · Conversion · Acquired 132,740 · Balance 132,740 F1: Each share of Series B Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019). F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund III, L.P. | 156,073 |
Reported balance
After 2019-03-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-03-11 · Conversion · Acquired 23,333 · Balance 156,073 F2: Each share of Series C Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019). F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Private Design Fund III, L.P. | 166,073 |
Reported balance
After 2019-03-11 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-03-11 · Purchase · Acquired 10,000 · Balance 166,073 F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 132,740 |
Reported balance
After 2019-03-11 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-03-11 · Conversion · Acquired 132,740 · Balance 132,740 F1: Each share of Series B Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019). F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 156,073 |
Reported balance
After 2019-03-11 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-03-11 · Conversion · Acquired 23,333 · Balance 156,073 F2: Each share of Series C Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019). F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 166,073 |
Reported balance
After 2019-03-11 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-03-11 · Purchase · Acquired 10,000 · Balance 166,073 F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 10,000 |
Reported balance
After 2019-03-11 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-03-11 · Purchase · Acquired 10,000 · Balance 10,000 F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Private Design Fund III, L.P. | 0 |
Reported balance
After 2019-03-11 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-03-11 · Conversion · Disposed 1,619,433 · Balance 0 F1: Each share of Series B Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019). F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Private Design Fund III, L.P. | 0 |
Reported balance
After 2019-03-11 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-03-11 · Conversion · Disposed 284,659 · Balance 0 F2: Each share of Series C Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019). F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2019-03-11 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-03-11 · Conversion · Disposed 1,619,433 · Balance 0 F1: Each share of Series B Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019). F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectThrough Deerfield Special Situations Fund, L.P. | 0 |
Reported balance
After 2019-03-11 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-03-11 · Conversion · Disposed 284,659 · Balance 0 F2: Each share of Series C Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019). F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019).
F2: Each share of Series C Preferred Stock automatically converted into one share of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-12.2 reverse stock split effected by the Issuer on February 22, 2019).
F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. and Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F4: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Societal CDMO, Inc.
Report date June 12, 2017 · Filed June 15, 2017
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD PARTNERS, L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield International Master Fund, L.P.
Section 16 reporting ended · disclosed 2017-06-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 1,176,685 |
Last balance in matching sequence
After 2017-06-14 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2017-06-12 · Sale · Disposed 10,000 · Balance 1,277,132 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.61 to $6.92, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 2 · 2017-06-13 · Sale · Disposed 32,447 · Balance 1,244,685 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.40 to $6.76, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 3 · 2017-06-14 · Sale · Disposed 68,000 · Balance 1,176,685 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.05 to $6.41, inclusive. F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield International Master Fund, L.P. | 407,450 |
Reported balance
Holding disclosure · report date 2017-06-12 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 407,450 F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 317,550 |
Reported balance
Holding disclosure · report date 2017-06-12 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 317,550 F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.61 to $6.92, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.40 to $6.76, inclusive.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.05 to $6.41, inclusive.
F4: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F5: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Vanda Pharmaceuticals Inc.
Report date September 22, 2016 · Filed September 26, 2016
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., Deerfield International Master Fund, L.P., DEERFIELD PARTNERS, L.P.
Section 16 reporting ended · disclosed 2016-09-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 1,599,476 |
Last balance in matching sequence
After 2016-09-23 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2016-09-22 · Sale · Disposed 119,690 · Balance 1,873,108 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.20 to $17.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 4 · 2016-09-23 · Sale · Disposed 273,632 · Balance 1,599,476 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.205 to $17.20, inclusive. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield International Master Fund, L.P. | 2,035,697 |
Last balance in matching sequence
After 2016-09-23 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2016-09-22 · Sale · Disposed 152,334 · Balance 2,383,955 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.20 to $17.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 5 · 2016-09-23 · Sale · Disposed 348,258 · Balance 2,035,697 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.205 to $17.20, inclusive. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 693,171 |
Last balance in matching sequence
After 2016-09-23 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2016-09-22 · Sale · Disposed 68,940 · Balance 850,778 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.20 to $17.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 6 · 2016-09-23 · Sale · Disposed 157,607 · Balance 693,171 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.205 to $17.20, inclusive. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.20 to $17.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.205 to $17.20, inclusive.
F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
eHealth, Inc.
Report date April 26, 2017 · Filed April 27, 2017
Jointly reported with Flynn James E, Deerfield Mgmt L.P., DEERFIELD MANAGEMENT COMPANY, L.P., DEERFIELD PARTNERS, L.P., Deerfield International Master Fund, L.P.
Section 16 reporting ended · disclosed 2017-04-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Special Situations Fund, L.P. | 244,562 |
Last balance in matching sequence
After 2017-04-27 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-04-26 · Sale · Disposed 66,351 · Balance 428,367 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.50 to $11.68, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 4 · 2017-04-27 · Sale · Disposed 183,805 · Balance 244,562 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.71 to $11.79, inclusive. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield Partners, L.P. | 709,386 |
Last balance in matching sequence
After 2017-04-27 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2017-04-26 · Sale · Disposed 20,962 · Balance 767,453 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.50 to $11.68, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 5 · 2017-04-27 · Sale · Disposed 58,067 · Balance 709,386 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.71 to $11.79, inclusive. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectThrough Deerfield International Master Fund, L.P. | 877,606 |
Last balance in matching sequence
After 2017-04-27 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2017-04-26 · Sale · Disposed 25,932 · Balance 949,443 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.50 to $11.68, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Row 6 · 2017-04-27 · Sale · Disposed 71,837 · Balance 877,606 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.71 to $11.79, inclusive. F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.50 to $11.68, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.71 to $11.79, inclusive.
F3: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
F4: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 06, 2018 Filed Mar 8, 2018 22:18 UTC | GYRE THERAPEUTICS, INC. CBIO · Entity 5247 | SaleCommon Stock | 13,161 | $29.94 | $394,040.34 |
DisclosureSEC source: 0001193805-18-000371 · e617783_4-catalyst.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,171,839 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.75 to $30.50, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| March 06, 2018 Filed Mar 21, 2018 20:12 UTC Amendment | GYRE THERAPEUTICS, INC. CBIO · Entity 5247 | SaleCommon Stock | 10,802 | $31.18 | $336,806.36 |
DisclosureSEC source: 0001193805-18-000436 · e617828_4a-catalyst.xml · nonDerivative · entry 4 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 311,274 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.00 to $31.21, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6 · ownership.nature: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Read SEC document |
| March 06, 2018 Filed Mar 21, 2018 20:12 UTC Amendment | GYRE THERAPEUTICS, INC. CBIO · Entity 5247 | SaleCommon Stock | 28,498 | $31.18 | $888,567.64 |
DisclosureSEC source: 0001193805-18-000436 · e617828_4a-catalyst.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 821,265 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.00 to $31.21, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6 · ownership.nature: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Read SEC document |
| March 06, 2018 Filed Mar 21, 2018 20:12 UTC Amendment | GYRE THERAPEUTICS, INC. CBIO · Entity 5247 | SaleCommon Stock | 3,617 | $29.94 | $108,292.98 |
DisclosureSEC source: 0001193805-18-000436 · e617828_4a-catalyst.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 322,076 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.75 to $30.50, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6 · ownership.nature: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Read SEC document |
| March 06, 2018 Filed Mar 21, 2018 20:12 UTC Amendment | GYRE THERAPEUTICS, INC. CBIO · Entity 5247 | SaleCommon Stock | 9,544 | $29.94 | $285,747.36 |
DisclosureSEC source: 0001193805-18-000436 · e617828_4a-catalyst.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 849,763 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.75 to $30.50, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6 · ownership.nature: This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged. Read SEC document |
| October 10, 2017 Filed Oct 10, 2017 13:40 UTC | RHYTHM PHARMACEUTICALS, INC. RYTM · Entity 3693 | ConversionSeries A Preferred Stock · Derivative | 2,668,518 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-17-003261 · e617371_4-rhythm.xml · derivative · entry 6 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 291,005 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F1 · price: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F1 · derivative.exercise_date: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F1 · derivative.expiration_date: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| October 10, 2017 Filed Oct 10, 2017 13:40 UTC | RHYTHM PHARMACEUTICALS, INC. RYTM · Entity 3693 | ConversionSeries A Preferred Stock · Derivative | 2,668,518 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-17-003261 · e617371_4-rhythm.xml · derivative · entry 5 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Private Design Fund III, L.P. Disclosed balance after: 0 Underlying: Common Stock · 291,005 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F1 · price: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F1 · derivative.exercise_date: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F1 · derivative.expiration_date: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| October 10, 2017 Filed Oct 10, 2017 13:40 UTC | RHYTHM PHARMACEUTICALS, INC. RYTM · Entity 3693 | PurchaseCommon Stock | 177,500 | $17.00 | $3,017,500.00 |
DisclosureSEC source: 0001193805-17-003261 · e617371_4-rhythm.xml · nonDerivative · entry 4 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 468,505 F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| October 10, 2017 Filed Oct 10, 2017 13:40 UTC | RHYTHM PHARMACEUTICALS, INC. RYTM · Entity 3693 | PurchaseCommon Stock | 177,500 | $17.00 | $3,017,500.00 |
DisclosureSEC source: 0001193805-17-003261 · e617371_4-rhythm.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Private Design Fund III, L.P. Disclosed balance after: 468,505 F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| October 10, 2017 Filed Oct 10, 2017 13:40 UTC | RHYTHM PHARMACEUTICALS, INC. RYTM · Entity 3693 | ConversionCommon Stock | 291,005 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-17-003261 · e617371_4-rhythm.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 291,005 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| October 10, 2017 Filed Oct 10, 2017 13:40 UTC | RHYTHM PHARMACEUTICALS, INC. RYTM · Entity 3693 | ConversionCommon Stock | 291,005 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-17-003261 · e617371_4-rhythm.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Private Design Fund III, L.P. Disclosed balance after: 291,005 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Preferred Stock automatically converted into 0.1090513 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.17 reverse stock split effected by the Issuer in connection with its initial public offering). F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 14, 2017 Filed Jun 15, 2017 00:13 UTC | Societal CDMO, Inc. REPH · Entity 92137 | SaleCommon Stock | 68,000 | $6.25 | $425,000.00 |
DisclosureSEC source: 0001193805-17-001110 · e616297_4-rp.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,176,685 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.05 to $6.41, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 13, 2017 Filed Jun 15, 2017 00:13 UTC | Societal CDMO, Inc. REPH · Entity 92137 | SaleCommon Stock | 32,447 | $6.59 | $213,825.73 |
DisclosureSEC source: 0001193805-17-001110 · e616297_4-rp.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,244,685 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.40 to $6.76, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 12, 2017 Filed Jun 15, 2017 00:13 UTC | Societal CDMO, Inc. REPH · Entity 92137 | SaleCommon Stock | 10,000 | $6.74 | $67,400.00 |
DisclosureSEC source: 0001193805-17-001110 · e616297_4-rp.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,277,132 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.61 to $6.92, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 20:07 UTC | Societal CDMO, Inc. REPH · Entity 92137 | SaleCommon Stock | 17,245 | $6.99 | $120,542.55 |
DisclosureSEC source: 0001193805-17-001069 · e616273_4-rp.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,287,132 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.97 to $7.01, inclusive. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 20:07 UTC | Societal CDMO, Inc. REPH · Entity 92137 | SaleCommon Stock | 45,623 | $7.09 | $323,467.07 |
DisclosureSEC source: 0001193805-17-001069 · e616273_4-rp.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,304,377 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.96 to $7.67, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 27, 2017 Filed Apr 27, 2017 23:00 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 71,837 | $11.71 | $841,211.27 |
DisclosureSEC source: 0001193805-17-000705 · e616080_4-ehealth.xml · nonDerivative · entry 6 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield International Master Fund, L.P. Disclosed balance after: 877,606 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.71 to $11.79, inclusive. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 27, 2017 Filed Apr 27, 2017 23:00 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 58,067 | $11.71 | $679,964.57 |
DisclosureSEC source: 0001193805-17-000705 · e616080_4-ehealth.xml · nonDerivative · entry 5 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 709,386 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.71 to $11.79, inclusive. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 27, 2017 Filed Apr 27, 2017 23:00 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 183,805 | $11.71 | $2,152,356.55 |
DisclosureSEC source: 0001193805-17-000705 · e616080_4-ehealth.xml · nonDerivative · entry 4 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 244,562 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.71 to $11.79, inclusive. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 26, 2017 Filed Apr 27, 2017 23:00 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 25,932 | $11.52 | $298,736.64 |
DisclosureSEC source: 0001193805-17-000705 · e616080_4-ehealth.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield International Master Fund, L.P. Disclosed balance after: 949,443 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.50 to $11.68, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 26, 2017 Filed Apr 27, 2017 23:00 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 20,962 | $11.52 | $241,482.24 |
DisclosureSEC source: 0001193805-17-000705 · e616080_4-ehealth.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 767,453 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.50 to $11.68, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 26, 2017 Filed Apr 27, 2017 23:00 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 66,351 | $11.52 | $764,363.52 |
DisclosureSEC source: 0001193805-17-000705 · e616080_4-ehealth.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 428,367 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.50 to $11.68, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 21:37 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 34,349 | $11.00 | $377,839.00 |
DisclosureSEC source: 0001193805-17-000651 · e616042_4-ehealth.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield International Master Fund, L.P. Disclosed balance after: 975,375 F1 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F2 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 21:37 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 27,765 | $11.00 | $305,415.00 |
DisclosureSEC source: 0001193805-17-000651 · e616042_4-ehealth.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 788,415 F1 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F2 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 21:37 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 87,886 | $11.00 | $966,746.00 |
DisclosureSEC source: 0001193805-17-000651 · e616042_4-ehealth.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 494,718 F1 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F2 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 11, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 7,658 | $11.01 | $84,333.73 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 9 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield International Master Fund, L.P. Disclosed balance after: 1,009,724 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.15, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 11, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 6,189 | $11.01 | $68,156.36 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 8 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 816,180 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.15, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 11, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 19,593 | $11.01 | $215,767.91 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 7 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 582,604 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.15, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 18,264 | $11.04 | $201,588.90 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 6 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield International Master Fund, L.P. Disclosed balance after: 1,017,382 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.26, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 14,763 | $11.04 | $162,946.61 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 5 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 822,369 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.26, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 46,730 | $11.04 | $515,782.38 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 4 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 602,197 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.26, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 07, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 27,228 | $11.72 | $319,011.42 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield International Master Fund, L.P. Disclosed balance after: 1,035,646 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.70 to $11.83, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 07, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 22,009 | $11.72 | $257,864.05 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 837,132 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.70 to $11.83, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| April 07, 2017 Filed Apr 11, 2017 21:56 UTC | eHealth, Inc. EHTH · Entity 497 | SaleCommon Stock | 69,667 | $11.72 | $816,239.47 |
DisclosureSEC source: 0001193805-17-000620 · e616028_4-ehealth.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Members of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Members of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Members of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Members of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 648,927 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.70 to $11.83, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| January 26, 2017 Filed Jan 26, 2017 17:13 UTC | CAS MEDICAL SYSTEMS INC CASM · Entity 158232 | SaleCommon Stock | 517,450 | $1.46 | $752,941.50 |
DisclosureSEC source: 0001193805-17-000065 · e615697_4-cas.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 2,358,636 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.45 to $1.52, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| January 25, 2017 Filed Jan 26, 2017 17:13 UTC | CAS MEDICAL SYSTEMS INC CASM · Entity 158232 | SaleCommon Stock | 71,468 | $1.50 | $107,223.44 |
DisclosureSEC source: 0001193805-17-000065 · e615697_4-cas.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 2,876,086 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.50 to $1.51, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 17:13 UTC | CAS MEDICAL SYSTEMS INC CASM · Entity 158232 | SaleCommon Stock | 47,320 | $1.50 | $71,065.18 |
DisclosureSEC source: 0001193805-17-000065 · e615697_4-cas.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 2,947,554 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.50 to $1.55, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| January 23, 2017 Filed Jan 23, 2017 18:58 UTC | CAS MEDICAL SYSTEMS INC CASM · Entity 158232 | SaleCommon Stock | 86,691 | $1.47 | $127,002.32 |
DisclosureSEC source: 0001193805-17-000057 · e615692_4-cas.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 2,994,874 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.40 to $1.56, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| January 20, 2017 Filed Jan 23, 2017 18:58 UTC | CAS MEDICAL SYSTEMS INC CASM · Entity 158232 | SaleCommon Stock | 46,522 | $1.53 | $71,267.05 |
DisclosureSEC source: 0001193805-17-000057 · e615692_4-cas.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 3,081,565 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.50 to $1.56, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| January 19, 2017 Filed Jan 23, 2017 18:58 UTC | CAS MEDICAL SYSTEMS INC CASM · Entity 158232 | SaleCommon Stock | 71,913 | $1.60 | $115,082.37 |
DisclosureSEC source: 0001193805-17-000057 · e615692_4-cas.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 3,128,087 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.60 to $1.64, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P.(the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| December 14, 2016 Filed Dec 14, 2016 17:48 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 45,568 | $6.01 | $273,676.85 |
DisclosureSEC source: 0001193805-16-004372 · e615630_4-invuity.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,690,498 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.0000 to $6.1250, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 17:48 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 71,173 | $6.13 | $436,148.14 |
DisclosureSEC source: 0001193805-16-004372 · e615630_4-invuity.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,736,066 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.0000 to $6.2338, inclusive. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 17:48 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 68,055 | $6.45 | $439,084.05 |
DisclosureSEC source: 0001193805-16-004372 · e615630_4-invuity.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,807,239 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.2628 to $6.6050, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4. F4 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F5 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 21:29 UTC | Vanda Pharmaceuticals Inc. VNDA · Entity 5861 | SaleCommon Stock | 157,607 | $16.71 | $2,633,140.15 |
DisclosureSEC source: 0001193805-16-004027 · e615444_4-vanda.xml · nonDerivative · entry 6 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 693,171 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.205 to $17.20, inclusive. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 21:29 UTC | Vanda Pharmaceuticals Inc. VNDA · Entity 5861 | SaleCommon Stock | 348,258 | $16.71 | $5,818,346.41 |
DisclosureSEC source: 0001193805-16-004027 · e615444_4-vanda.xml · nonDerivative · entry 5 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield International Master Fund, L.P. Disclosed balance after: 2,035,697 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.205 to $17.20, inclusive. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 21:29 UTC | Vanda Pharmaceuticals Inc. VNDA · Entity 5861 | SaleCommon Stock | 273,632 | $16.71 | $4,571,569.82 |
DisclosureSEC source: 0001193805-16-004027 · e615444_4-vanda.xml · nonDerivative · entry 4 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 1,599,476 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.205 to $17.20, inclusive. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 21:29 UTC | Vanda Pharmaceuticals Inc. VNDA · Entity 5861 | SaleCommon Stock | 68,940 | $16.24 | $1,119,516.66 |
DisclosureSEC source: 0001193805-16-004027 · e615444_4-vanda.xml · nonDerivative · entry 3 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 850,778 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.20 to $17.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 21:29 UTC | Vanda Pharmaceuticals Inc. VNDA · Entity 5861 | SaleCommon Stock | 152,334 | $16.24 | $2,473,751.83 |
DisclosureSEC source: 0001193805-16-004027 · e615444_4-vanda.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield International Master Fund, L.P. Disclosed balance after: 2,383,955 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.20 to $17.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 21:29 UTC | Vanda Pharmaceuticals Inc. VNDA · Entity 5861 | SaleCommon Stock | 119,690 | $16.24 | $1,943,645.91 |
DisclosureSEC source: 0001193805-16-004027 · e615444_4-vanda.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 1,873,108 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.20 to $17.12, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 19, 2016 Filed Sep 19, 2016 22:42 UTC | Vanda Pharmaceuticals Inc. VNDA · Entity 5861 | SaleCommon Stock | 37,044 | $15.58 | $577,145.52 |
DisclosureSEC source: 0001193805-16-003980 · e615421_4-vanda.xml · nonDerivative · entry 9 Flynn James E · CIK 0001352546 · 10% owner · Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of 10% Group DEERFIELD MANAGEMENT CO · CIK 0001009258 · 10% owner · Possible Member of 10% Group Deerfield International Master Fund, L.P. · CIK 0001565089 · 10% owner · Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · Possible Member of 10% Group Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 919,718 F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.50 to $15.60, inclusive. F5 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F6 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.