organization · Reporting owner
Sarissa Capital Offshore Master Fund LP
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Regulus Therapeutics Inc.RGLS · Entity 78034 | 10% owner | April 01, 2020 | May 08, 2020 |
| SEELOS THERAPEUTICS, INC.APRI · Entity 93662 | 10% owner | March 21, 2018 | March 23, 2018 |
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.
Regulus Therapeutics Inc.
Report date April 01, 2020 · Filed May 08, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 262,704 |
Reported balance
After 2020-04-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-04-01 · Other · Disposed 5,311 · Balance 262,704 F2: See Exhibit 99.1. F1: See Exhibit 99.1. F3: See Exhibit 99.1. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.08 · Expires 2024-05-07 | Direct | 1,149,649 |
Reported balance
After 2020-04-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-04-01 · Other · Disposed 23,243 · Balance 1,149,649 F1: See Exhibit 99.1. F2: See Exhibit 99.1. F3: See Exhibit 99.1. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2024-12-24 | Direct | 2,627,037 |
Reported balance
After 2020-04-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-04-01 · Other · Disposed 53,113 · Balance 2,627,037 F1: See Exhibit 99.1. F2: See Exhibit 99.1. F3: See Exhibit 99.1. |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibit 99.1.
F2: See Exhibit 99.1.
F3: See Exhibit 99.1.
SEELOS THERAPEUTICS, INC.
Report date March 21, 2018 · Filed March 23, 2018
Jointly reported with DENNER ALEXANDER J, Sarissa Capital Management LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.71 · Expires 2023-01-12 | IndirectSee Footnote | 0 |
Reported balance
After 2018-03-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-03-21 · Other · Disposed 653,409 · Balance 0 F1: See Exhibit 99.1; Note 1. F2: See Exhibit 99.1; Note 2. F3: See Exhibit 99.1; Note 3. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.71 · Expires 2023-01-12 | IndirectSee Footnote | 653,409 |
Reported balance
After 2018-03-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-03-21 · Other · Acquired 653,409 · Balance 653,409 F1: See Exhibit 99.1; Note 1. F2: See Exhibit 99.1; Note 2. F3: See Exhibit 99.1; Note 3. |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibit 99.1; Note 1.
F2: See Exhibit 99.1; Note 2.
F3: See Exhibit 99.1; Note 3.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Iterum Therapeutics plc
Report date February 11, 2021 · Filed February 12, 2021
Jointly reported with DENNER ALEXANDER J, Sarissa Capital Management LP, Sarissa Capital Catapult Fund LLC, Sarissa Capital Hawkeye Fund LP, Sarissa Capital Master Fund II LP
Section 16 reporting ended · disclosed 2021-02-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnotes | 20,616,949 |
Reported balance
After 2021-02-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-02-11 · Conversion · Acquired 20,619,949 · Balance 20,616,949 F1: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F3: Following the exchange, on February 11, 2021, the Reporting Persons sold, in the aggregate, 10,000,000 Ordinary Shares at a volume weighted average price of $2.59 per share. These shares were sold in multiple open market transactions at prices ranging from $2.58 to $2.70. Of the aggregate amount of Ordinary Shares sold on February 11, 2021 by the Reporting Persons (i) Sarissa Offshore sold 5,881,300 Ordinary Shares, (ii) Sarissa Catapult sold 2,292,700 Ordinary Shares, (iii) Sarissa Hawkeye sold 1,707,300 Ordinary Shares and (iv) Sarissa Master II sold 118,700 Ordinary Shares. F6: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions. F7: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnotes | 10,619,949 |
Reported balance
After 2021-02-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-02-11 · Sale · Disposed 10,000,000 · Balance 10,619,949 F1: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F3: Following the exchange, on February 11, 2021, the Reporting Persons sold, in the aggregate, 10,000,000 Ordinary Shares at a volume weighted average price of $2.59 per share. These shares were sold in multiple open market transactions at prices ranging from $2.58 to $2.70. Of the aggregate amount of Ordinary Shares sold on February 11, 2021 by the Reporting Persons (i) Sarissa Offshore sold 5,881,300 Ordinary Shares, (ii) Sarissa Catapult sold 2,292,700 Ordinary Shares, (iii) Sarissa Hawkeye sold 1,707,300 Ordinary Shares and (iv) Sarissa Master II sold 118,700 Ordinary Shares. F5: The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the SEC Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4. F6: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions. F7: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2021-02-12 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-02-12 · Sale · Disposed 10,619,949 · Balance 0 F1: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F4: On February 12, 2021, the Reporting Persons sold, in the aggregate 10,619,949 Ordinary Shares at a volume weighted average price of $2.27 per share. These shares were sold in multiple open market transactions at prices ranging from $2.24 to $2.27. Of the aggregate amount of Ordinary Shares sold on February 12, 2021 by the Reporting Persons (i) Sarissa Offshore sold 6,245,491 Ordinary Shares, (ii) Sarissa Catapult sold 2,434,767 Ordinary Shares, (iii) Sarissa Hawkeye sold 1,813,213 Ordinary Shares and (iv) Sarissa Master II sold 126,478 Ordinary Shares. F5: The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the SEC Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4. F6: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions. F7: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein. |
| 6.500% Exchangeable Senior Subordinated Note due 2025SEC Table II · derivative / convertible security · Expires 2025-01-31 | IndirectSee Footnotes | 0 |
Reported balance
After 2021-02-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-02-11 · Conversion · Disposed 15,000,000 · Balance 0 F1: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F5: The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the SEC Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4. F6: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions. F7: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares.
F2: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares.
F3: Following the exchange, on February 11, 2021, the Reporting Persons sold, in the aggregate, 10,000,000 Ordinary Shares at a volume weighted average price of $2.59 per share. These shares were sold in multiple open market transactions at prices ranging from $2.58 to $2.70. Of the aggregate amount of Ordinary Shares sold on February 11, 2021 by the Reporting Persons (i) Sarissa Offshore sold 5,881,300 Ordinary Shares, (ii) Sarissa Catapult sold 2,292,700 Ordinary Shares, (iii) Sarissa Hawkeye sold 1,707,300 Ordinary Shares and (iv) Sarissa Master II sold 118,700 Ordinary Shares.
F4: On February 12, 2021, the Reporting Persons sold, in the aggregate 10,619,949 Ordinary Shares at a volume weighted average price of $2.27 per share. These shares were sold in multiple open market transactions at prices ranging from $2.24 to $2.27. Of the aggregate amount of Ordinary Shares sold on February 12, 2021 by the Reporting Persons (i) Sarissa Offshore sold 6,245,491 Ordinary Shares, (ii) Sarissa Catapult sold 2,434,767 Ordinary Shares, (iii) Sarissa Hawkeye sold 1,813,213 Ordinary Shares and (iv) Sarissa Master II sold 126,478 Ordinary Shares.
F5: The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the SEC Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4.
F6: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions.
F7: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| February 12, 2021 Filed Feb 12, 2021 20:22 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | SaleOrdinary Shares | 10,619,949 | $2.27 | $24,107,284.23 |
DisclosureSEC source: 0000899243-21-006406 · doc4.xml · nonDerivative · entry 3 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Sarissa Capital Catapult Fund LLC · CIK 0001716725 · 10% owner Sarissa Capital Hawkeye Fund LP · CIK 0001777184 · 10% owner Sarissa Capital Master Fund II LP · CIK 0001811636 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · ownership.nature: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2 · ownership.nature: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F4 · ownership.nature: On February 12, 2021, the Reporting Persons sold, in the aggregate 10,619,949 Ordinary Shares at a volume weighted average price of $2.27 per share. These shares were sold in multiple open market transactions at prices ranging from $2.24 to $2.27. Of the aggregate amount of Ordinary Shares sold on February 12, 2021 by the Reporting Persons (i) Sarissa Offshore sold 6,245,491 Ordinary Shares, (ii) Sarissa Catapult sold 2,434,767 Ordinary Shares, (iii) Sarissa Hawkeye sold 1,813,213 Ordinary Shares and (iv) Sarissa Master II sold 126,478 Ordinary Shares. F5 · ownership.nature: The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the SEC Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4. F6 · ownership.nature: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions. F7 · ownership.nature: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein. Read SEC document |
| February 11, 2021 Filed Feb 12, 2021 20:22 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | Conversion6.500% Exchangeable Senior Subordinated Note due 2025 · Derivative | 15,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-006406 · doc4.xml · derivative · entry 4 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Sarissa Capital Catapult Fund LLC · CIK 0001716725 · 10% owner Sarissa Capital Hawkeye Fund LP · CIK 0001777184 · 10% owner Sarissa Capital Master Fund II LP · CIK 0001811636 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Ordinary Shares · 20,619,949 shares Expires 2025-01-31 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: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F1 · price: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2 · price: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F1 · ownership.nature: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2 · ownership.nature: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F5 · ownership.nature: The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the SEC Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4. F6 · ownership.nature: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions. F7 · ownership.nature: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein. Read SEC document |
| February 11, 2021 Filed Feb 12, 2021 20:22 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | SaleOrdinary Shares | 10,000,000 | $2.59 | $25,900,000.00 |
DisclosureSEC source: 0000899243-21-006406 · doc4.xml · nonDerivative · entry 2 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Sarissa Capital Catapult Fund LLC · CIK 0001716725 · 10% owner Sarissa Capital Hawkeye Fund LP · CIK 0001777184 · 10% owner Sarissa Capital Master Fund II LP · CIK 0001811636 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 10,619,949 F1 · ownership.nature: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2 · ownership.nature: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F3 · ownership.nature: Following the exchange, on February 11, 2021, the Reporting Persons sold, in the aggregate, 10,000,000 Ordinary Shares at a volume weighted average price of $2.59 per share. These shares were sold in multiple open market transactions at prices ranging from $2.58 to $2.70. Of the aggregate amount of Ordinary Shares sold on February 11, 2021 by the Reporting Persons (i) Sarissa Offshore sold 5,881,300 Ordinary Shares, (ii) Sarissa Catapult sold 2,292,700 Ordinary Shares, (iii) Sarissa Hawkeye sold 1,707,300 Ordinary Shares and (iv) Sarissa Master II sold 118,700 Ordinary Shares. F5 · ownership.nature: The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the SEC Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4. F6 · ownership.nature: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions. F7 · ownership.nature: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein. Read SEC document |
| February 11, 2021 Filed Feb 12, 2021 20:22 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | ConversionOrdinary Shares | 20,619,949 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-006406 · doc4.xml · nonDerivative · entry 1 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Sarissa Capital Catapult Fund LLC · CIK 0001716725 · 10% owner Sarissa Capital Hawkeye Fund LP · CIK 0001777184 · 10% owner Sarissa Capital Master Fund II LP · CIK 0001811636 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 20,616,949 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: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2 · price: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F1 · ownership.nature: Dr. Denner, Sarissa Capital and the Sarissa Funds (each as defined below and, collectively, the "Reporting Persons") beneficially owned $15,00,000 principal amount of the Issuer's 6.500% Exchangeable Senior Subordinated Notes due 2025 (the "Exchangeable Notes"), which became exchangeable into the Issuer's Ordinary Shares at the option of the holder on January 21, 2021. On February 11, 2021, all of the Exchangeable Notes held by the Reporting Persons (inclusive of accrued interest) were exchanged for 20,619,949 Ordinary Shares. F2 · ownership.nature: (continued from footnote 1) As a result of the exchange (i) Sarissa Capital Offshore Master Fund LP, a Cayman Islands exempted limited partnership ("Sarissa Offshore"), was the direct beneficial owner of 12,126,791, (ii) Sarissa Capital Catapult Fund LLC, a Delaware limited liability company ("Sarissa Catapult") was the direct beneficial owner of 4,727,467 Ordinary Shares, (iii) Sarissa Capital Hawkeye Fund LP, a Delaware limited partnership ("Sarissa Hawkeye") was the direct beneficial owner of 3,520,513 Ordinary Shares and (iv) Sarissa Capital Master Fund II, a Delaware limited partnership ("Sarissa Master II" and, together with Sarissa Offshore, Sarissa Catapult, and Sarissa Hawkeye, the "Sarissa Funds") was the direct beneficial owner of 245,178 Ordinary Shares. F3 · ownership.nature: Following the exchange, on February 11, 2021, the Reporting Persons sold, in the aggregate, 10,000,000 Ordinary Shares at a volume weighted average price of $2.59 per share. These shares were sold in multiple open market transactions at prices ranging from $2.58 to $2.70. Of the aggregate amount of Ordinary Shares sold on February 11, 2021 by the Reporting Persons (i) Sarissa Offshore sold 5,881,300 Ordinary Shares, (ii) Sarissa Catapult sold 2,292,700 Ordinary Shares, (iii) Sarissa Hawkeye sold 1,707,300 Ordinary Shares and (iv) Sarissa Master II sold 118,700 Ordinary Shares. F6 · ownership.nature: Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), is the investment advisor to the Sarissa Funds and may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Ordinary Shares. Alexander J. Denner, Ph.D., a citizen of the United States of America ("Dr. Denner"), is the Chief Investment Officer of Sarissa Capital and the ultimate general partner of Sarissa Capital, Sarissa Offshore, Sarissa Hawkeye, Sarissa Master II, and the managing member of Sarissa Catapult is controlled by Dr. Denner; accordingly, Dr. Denner may be deemed to have beneficial ownership over the Ordinary Shares directly beneficially owned by the Sarissa Funds by virtue of such positions. F7 · ownership.nature: Each of Dr. Denner, Sarissa Capital, Sarissa Offshore, Sarissa Catapult, Sarissa Hawkeye and Sarissa Master II disclaims beneficial ownership of the Ordinary Shares except, in each case, to the extent of their pecuniary interest therein. Read SEC document |
| April 01, 2020 Filed May 8, 2020 20:03 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | OtherWarrants to Purchase Common Stock · Derivative | 53,113 | Not disclosed Strike: $0.67 | Not disclosed |
DisclosureSEC source: 0001567619-20-009390 · doc1.xml · derivative · entry 3 Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,627,037 Underlying: Common Stock · 53,113 shares Expires 2024-12-24 F1 · price: See Exhibit 99.1. F1 · ownership.direct: See Exhibit 99.1. F2 · ownership.direct: See Exhibit 99.1. F3 · ownership.direct: See Exhibit 99.1. Read SEC document |
| April 01, 2020 Filed May 8, 2020 20:03 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | OtherWarrants to Purchase Common Stock · Derivative | 23,243 | Not disclosed Strike: $1.08 | Not disclosed |
DisclosureSEC source: 0001567619-20-009390 · doc1.xml · derivative · entry 2 Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,149,649 Underlying: Common Stock · 23,243 shares Expires 2024-05-07 F1 · price: See Exhibit 99.1. F1 · ownership.direct: See Exhibit 99.1. F2 · ownership.direct: See Exhibit 99.1. F3 · ownership.direct: See Exhibit 99.1. Read SEC document |
| April 01, 2020 Filed May 8, 2020 20:03 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | OtherClass A-2 Convertible Preferred Stock · Derivative | 5,311 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-009390 · doc1.xml · derivative · entry 1 Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,704 Underlying: Common Stock · 53,110 shares Expires not disclosed F2 · derivative.exercise_price: See Exhibit 99.1. F1 · price: See Exhibit 99.1. F2 · derivative.exercise_date: See Exhibit 99.1. F2 · derivative.expiration_date: See Exhibit 99.1. F1 · ownership.direct: See Exhibit 99.1. F2 · ownership.direct: See Exhibit 99.1. F3 · ownership.direct: See Exhibit 99.1. Read SEC document |
| December 24, 2019 Filed Jan 4, 2020 02:53 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseWarrants to Purchase Common Stock · Derivative | 4,231,620 | Not disclosed Strike: $6.66 | Not disclosed |
DisclosureSEC source: 0001567619-20-000438 · doc1.xml · derivative · entry 2 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Sarissa Capital Catapult Fund LLC · CIK 0001716725 · 10% owner Sarissa Capital Hawkeye Fund LP · CIK 0001777184 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,083,471 Underlying: Common Stock · 4,231,620 shares Expires 2024-12-24 F1 · price: See Exhibit 99.1. F1 · ownership.nature: See Exhibit 99.1. F2 · ownership.nature: See Exhibit 99.1. F3 · ownership.nature: See Exhibit 99.1. Read SEC document |
| December 24, 2019 Filed Jan 4, 2020 02:53 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseClass A-2 Convertible Preferred Stock · Derivative | 423,162 | Not disclosed Strike: $0.67 | Not disclosed |
DisclosureSEC source: 0001567619-20-000438 · doc1.xml · derivative · entry 1 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Sarissa Capital Catapult Fund LLC · CIK 0001716725 · 10% owner Sarissa Capital Hawkeye Fund LP · CIK 0001777184 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 423,162 Underlying: Common Stock · 4,231,620 shares Expires not disclosed F1 · price: See Exhibit 99.1. F1 · derivative.exercise_date: See Exhibit 99.1. F1 · derivative.expiration_date: See Exhibit 99.1. F1 · derivative.underlying_shares: See Exhibit 99.1. F1 · ownership.nature: See Exhibit 99.1. F2 · ownership.nature: See Exhibit 99.1. F3 · ownership.nature: See Exhibit 99.1. Read SEC document |
| March 21, 2018 Filed Mar 23, 2018 17:52 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | OtherWarrants to Purchase Common Stock · Derivative | 653,409 | Not disclosed Strike: $0.71 | Not disclosed |
DisclosureSEC source: 0001140361-18-014847 · doc1.xml · derivative · entry 2 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 653,409 Underlying: Common Stock · 653,409 shares Expires 2023-01-12 F1 · kind: See Exhibit 99.1; Note 1. F2 · price: See Exhibit 99.1; Note 2. F3 · ownership.nature: See Exhibit 99.1; Note 3. Read SEC document |
| March 21, 2018 Filed Mar 23, 2018 17:52 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | OtherWarrants to Purchase Common Stock · Derivative | 653,409 | Not disclosed Strike: $0.71 | Not disclosed |
DisclosureSEC source: 0001140361-18-014847 · doc1.xml · derivative · entry 1 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 653,409 shares Expires 2023-01-12 F1 · kind: See Exhibit 99.1; Note 1. F2 · price: See Exhibit 99.1; Note 2. F3 · ownership.nature: See Exhibit 99.1; Note 3. Read SEC document |
| August 31, 2017 Filed Sep 1, 2017 16:26 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | PurchaseWarrants to purchase Common Stock · Derivative | 2,835 | Not disclosed Strike: $8.80 | Not disclosed |
DisclosureSEC source: 0001140361-17-034162 · doc1.xml · derivative · entry 2 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Domestic Fund LP · CIK 0001575277 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 672,453 Underlying: Common Stock · 2,835 shares Expires 2023-03-03 F3 · price: The shares of common stock and warrant reported herein were acquired at the per share price referred to above. F1 · ownership.nature: On August 31, 2017, in connection with a private transaction with Sarissa Capital Master Offshore Fund LP, a Cayman Island exempted limited partnership ("Sarissa Offshore"), and Sarissa Capital Domestic Fund LP, a Delaware limited partnership ("Sarissa Domestic"), Dr. Alexander Denner increased his pecuniary interest in shares of common stock and warrants to purchase common stock of Apricus Biosciences, Inc. through his direct interest in Sarissa Domestic and his indirect interest in Sarissa Offshore. F2 · ownership.nature: All shares and warrants reported herein as of August 31, 2017 are beneficially owned by Sarissa Offshore. Sarissa Capital Management GP LLC, a Delaware limited liability company ("Sarissa Capital GP"), is the general partner of Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), the investment advisor to Sarissa Offshore. Dr. Denner is the Chief Investment Officer of Sarissa Capital and the managing member of Sarissa Capital GP. By virtue of the foregoing, Sarissa Capital and Dr. Denner may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 of the Securities Exchange Act of 1934, as amended) the shares and warrants that Sarissa Offshore directly beneficially owns. Sarissa Capital and Dr. Denner disclaim beneficial ownership of these shares and warrants except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 1, 2017 16:26 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | PurchaseCommon Stock | 6,104 | $1.63 | $9,949.52 |
DisclosureSEC source: 0001140361-17-034162 · doc1.xml · nonDerivative · entry 1 DENNER ALEXANDER J · CIK 0001361754 · 10% owner Sarissa Capital Management LP · CIK 0001577524 · 10% owner Sarissa Capital Domestic Fund LP · CIK 0001575277 · 10% owner Sarissa Capital Offshore Master Fund LP · CIK 0001577530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,447,906 F1 · shares: On August 31, 2017, in connection with a private transaction with Sarissa Capital Master Offshore Fund LP, a Cayman Island exempted limited partnership ("Sarissa Offshore"), and Sarissa Capital Domestic Fund LP, a Delaware limited partnership ("Sarissa Domestic"), Dr. Alexander Denner increased his pecuniary interest in shares of common stock and warrants to purchase common stock of Apricus Biosciences, Inc. through his direct interest in Sarissa Domestic and his indirect interest in Sarissa Offshore. F1 · ownership.nature: On August 31, 2017, in connection with a private transaction with Sarissa Capital Master Offshore Fund LP, a Cayman Island exempted limited partnership ("Sarissa Offshore"), and Sarissa Capital Domestic Fund LP, a Delaware limited partnership ("Sarissa Domestic"), Dr. Alexander Denner increased his pecuniary interest in shares of common stock and warrants to purchase common stock of Apricus Biosciences, Inc. through his direct interest in Sarissa Domestic and his indirect interest in Sarissa Offshore. F2 · ownership.nature: All shares and warrants reported herein as of August 31, 2017 are beneficially owned by Sarissa Offshore. Sarissa Capital Management GP LLC, a Delaware limited liability company ("Sarissa Capital GP"), is the general partner of Sarissa Capital Management LP, a Delaware limited partnership ("Sarissa Capital"), the investment advisor to Sarissa Offshore. Dr. Denner is the Chief Investment Officer of Sarissa Capital and the managing member of Sarissa Capital GP. By virtue of the foregoing, Sarissa Capital and Dr. Denner may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 of the Securities Exchange Act of 1934, as amended) the shares and warrants that Sarissa Offshore directly beneficially owns. Sarissa Capital and Dr. Denner disclaim beneficial ownership of these shares and warrants except to the extent of any pecuniary interest therein. 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.