organization · Reporting owner
21 APRIL FUND, LTD.
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARADIGM CORPARDM · Entity 155143 | 10% owner | May 01, 2019 | May 03, 2019 |
| DUOS TECHNOLOGIES GROUP, INC.DUOT · Entity 6044 | 10% owner | September 25, 2019 | September 27, 2019 |
| DURECT CORPDRRX · Entity 75335 | 10% owner | June 20, 2019 | June 24, 2019 |
| INTEVAC INCIVAC · Entity 81388 | 10% owner | May 04, 2018 | May 08, 2018 |
| INVE Technologies, Inc.INVE · Entity 7037 | 10% owner | February 01, 2018 | February 02, 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.
ARADIGM CORP
Report date May 01, 2019 · Filed May 03, 2019
Jointly reported with First Eagle Investment Management, LLC, First Eagle Value in Biotechnology Master Fund, Ltd., 21 APRIL FUND, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 9.0% Senior Convertible Notes due 2021SEC Table II · derivative / convertible security · Expires 2021-04-30 | IndirectSee footnotes | 3,362,072 |
Reported balance
After 2019-05-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-05-01 · Other · Acquired 85,997 · Balance 3,362,072 F1: See Exhibit 99.1. F4: See Exhibit 99.1. F5: See Exhibit 99.1. F7: See Exhibit 99.1. F6: 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.
F4: See Exhibit 99.1.
F5: See Exhibit 99.1.
F6: See Exhibit 99.1.
F7: See Exhibit 99.1.
DUOS TECHNOLOGIES GROUP, INC.
Report date September 25, 2019 · Filed September 27, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.55 · Expires 2024-09-25 | Direct | 625,000 |
Reported balance
After 2019-09-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-09-25 · Purchase · Acquired 625,000 · Balance 625,000 F3: The Warrants were issued to the Reporting Person in connection with the Reporting Person extending a loan to the Company. F2: Consists of warrants to acquire 458,125 shares owned by the Reporting Person and warrants to acquire 166,875 shares held by 21 April Fund, LP, an affiliate of the Reporting Person. The Reporting Person disclaims beneficial ownership of the warrants reported herein except to the extent of the Reporting Person's pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such warrants for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 4,000,000 |
Reported balance
Holding disclosure · report date 2019-09-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,000,000 F1: Consists of 3,184,140 shares owned by the Reporting Person and 815,860 shares owned by 21 April Fund LP, an affiliate of the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of the Reporting Person's pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such shares of common stock or warrants for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of 3,184,140 shares owned by the Reporting Person and 815,860 shares owned by 21 April Fund LP, an affiliate of the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of the Reporting Person's pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such shares of common stock or warrants for purposes of Section 16 or for any other purpose.
F2: Consists of warrants to acquire 458,125 shares owned by the Reporting Person and warrants to acquire 166,875 shares held by 21 April Fund, LP, an affiliate of the Reporting Person. The Reporting Person disclaims beneficial ownership of the warrants reported herein except to the extent of the Reporting Person's pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such warrants for purposes of Section 16 or for any other purpose.
F3: The Warrants were issued to the Reporting Person in connection with the Reporting Person extending a loan to the Company.
DURECT CORP
Report date June 20, 2019 · Filed June 24, 2019
Jointly reported with First Eagle Investment Management, LLC, 21 APRIL FUND, L.P., First Eagle Value in Biotechnology Master Fund, Ltd., First Eagle Holdings, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 26,476,546 |
Reported balance
After 2019-06-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-20 · Purchase · Acquired 4,000,000 · Balance 26,476,546 F1: This Form 4 is filed by 21 April Fund, LP ("April LP"), 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April LP, April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2: Pursuant to a prospectus supplement, dated June 20, 2019, DURECT Corporation (the "Company") offered 29,000,000 shares of its common stock, par value $0.0001 per share (the "Common Stock") to certain investors of the Company. Pursuant to the terms that certain Securities Purchase Agreement, dated June 20, 2019, by and among the Company, April LP, April Ltd. and certain other persons, April LP and April Ltd purchased an aggregate of 4,000,000 shares of the Common Stock of the 29,000,000 made available in the offering at a price of $0.52 per share. The 4,000,000 shares of Common Stock represent 1,300,000 shares of Common Stock directly held by April LP and 2,700,000 shares of Common Stock directly held by April Ltd. F3: Represents 4,726,893, 16,067,709, 5,586,944 and 95,000 shares of Common Stock held directly by 21 April LP, 21 April Ltd., FEVIBM and certain separately managed accounts, including accounts for which FEIM serves as registered investment adviser (the "Separately Managed Accounts"), respectively. F4: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) a general partner of April LP, (ii) the registered investment adviser to FEVIBM as well as to April LP and April Ltd. (collectively, the "Funds"), (iii) a subsidiary of FEHI and (iv) the investment adviser to certain of the Separately Managed Accounts. FEHI disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the beneficial owner of any such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed by 21 April Fund, LP ("April LP"), 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April LP, April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4.
F2: Pursuant to a prospectus supplement, dated June 20, 2019, DURECT Corporation (the "Company") offered 29,000,000 shares of its common stock, par value $0.0001 per share (the "Common Stock") to certain investors of the Company. Pursuant to the terms that certain Securities Purchase Agreement, dated June 20, 2019, by and among the Company, April LP, April Ltd. and certain other persons, April LP and April Ltd purchased an aggregate of 4,000,000 shares of the Common Stock of the 29,000,000 made available in the offering at a price of $0.52 per share. The 4,000,000 shares of Common Stock represent 1,300,000 shares of Common Stock directly held by April LP and 2,700,000 shares of Common Stock directly held by April Ltd.
F3: Represents 4,726,893, 16,067,709, 5,586,944 and 95,000 shares of Common Stock held directly by 21 April LP, 21 April Ltd., FEVIBM and certain separately managed accounts, including accounts for which FEIM serves as registered investment adviser (the "Separately Managed Accounts"), respectively.
F4: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) a general partner of April LP, (ii) the registered investment adviser to FEVIBM as well as to April LP and April Ltd. (collectively, the "Funds"), (iii) a subsidiary of FEHI and (iv) the investment adviser to certain of the Separately Managed Accounts. FEHI disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the beneficial owner of any such securities.
INTEVAC INC
Report date May 04, 2018 · Filed May 08, 2018
Jointly reported with First Eagle Investment Management, LLC, First Eagle Holdings, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,949,355 |
Reported balance
After 2018-05-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-04 · Purchase · Acquired 9,000 · Balance 4,949,355 F1: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3: Represents 3,322,615 and 1,626,740 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4.
F2: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities.
F3: Represents 3,322,615 and 1,626,740 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities.
INVE Technologies, Inc.
Report date February 01, 2018 · Filed February 02, 2018
Jointly reported with First Eagle Investment Management, LLC, First Eagle Holdings, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,853,004 |
Reported balance
After 2018-02-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-02-01 · Other · Disposed 105,500 · Balance 1,853,004 F1: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F3: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., and (ii) a subsidiary of FEHI. FEHI disclaims Section 16 beneficial ownership of the shares except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. |
| Series B Non-Voting Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.00 | Direct | 2,388,461 |
Reported balance
Holding disclosure · report date 2018-02-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 2,388,461 F1: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F4: Each share of Series B Non-Voting Convertible Preferred Stock, $0.001 par value per share ("Series B Preferred Stock"), of Identiv, Inc. (the "Company") is convertible into such number of shares of common stock, par value $0.001 ("Common Stock"), of the Company as is equal to the accreted value of such share of Series B Preferred Stock divided by a conversion price equal to $4.00 as of December 21, 2017, subject to adjustment pursuant to the terms of the certificate of designation setting forth the designations, preferences, limitations and relative rights of the Series B Preferred Stock. Each share of Series B Preferred Stock is convertible at the option of the holder thereof into the Common Stock: (i) following the sixth (6th) anniversary of the initial closing of the sale of the Series B Preferred Stock; or (ii) if earlier, during the thirty (30) day period following the last trading day of any period of three (3) or more consecutive trading days that the closing market price of th |
| Series B Non-Voting Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.00 | IndirectSee footnote | 611,539 |
Reported balance
Holding disclosure · report date 2018-02-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 611,539 F4: Each share of Series B Non-Voting Convertible Preferred Stock, $0.001 par value per share ("Series B Preferred Stock"), of Identiv, Inc. (the "Company") is convertible into such number of shares of common stock, par value $0.001 ("Common Stock"), of the Company as is equal to the accreted value of such share of Series B Preferred Stock divided by a conversion price equal to $4.00 as of December 21, 2017, subject to adjustment pursuant to the terms of the certificate of designation setting forth the designations, preferences, limitations and relative rights of the Series B Preferred Stock. Each share of Series B Preferred Stock is convertible at the option of the holder thereof into the Common Stock: (i) following the sixth (6th) anniversary of the initial closing of the sale of the Series B Preferred Stock; or (ii) if earlier, during the thirty (30) day period following the last trading day of any period of three (3) or more consecutive trading days that the closing market price of th F5: These shares of Series B Preferred Stock are indirectly owned by FEIM, as registered investment adviser to accounts other than April Ltd., and FEHI. FEIM and FEHI disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that FEIM and FEHI are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4.
F2: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein.
F3: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., and (ii) a subsidiary of FEHI. FEHI disclaims Section 16 beneficial ownership of the shares except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities.
F4: Each share of Series B Non-Voting Convertible Preferred Stock, $0.001 par value per share ("Series B Preferred Stock"), of Identiv, Inc. (the "Company") is convertible into such number of shares of common stock, par value $0.001 ("Common Stock"), of the Company as is equal to the accreted value of such share of Series B Preferred Stock divided by a conversion price equal to $4.00 as of December 21, 2017, subject to adjustment pursuant to the terms of the certificate of designation setting forth the designations, preferences, limitations and relative rights of the Series B Preferred Stock. Each share of Series B Preferred Stock is convertible at the option of the holder thereof into the Common Stock: (i) following the sixth (6th) anniversary of the initial closing of the sale of the Series B Preferred Stock; or (ii) if earlier, during the thirty (30) day period following the last trading day of any period of three (3) or more consecutive trading days that the closing market price of th
F5: These shares of Series B Preferred Stock are indirectly owned by FEIM, as registered investment adviser to accounts other than April Ltd., and FEHI. FEIM and FEHI disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that FEIM and FEHI are the beneficial owners of the securities for purposes of Section 16 or for any other purpose.
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 |
|---|---|---|---|---|---|---|
| September 25, 2019 Filed Sep 27, 2019 15:55 UTC | DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044 | PurchaseWarrants · Derivative | 625,000 | $0.00 Strike: $0.55 | $625.00 |
DisclosureSEC source: 0001459708-19-000001 · primary_doc.xml · derivative · entry 2 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625,000 Underlying: Common Stock · 625,000 shares Expires 2024-09-25 F3 · price: The Warrants were issued to the Reporting Person in connection with the Reporting Person extending a loan to the Company. F2 · derivative.underlying_shares: Consists of warrants to acquire 458,125 shares owned by the Reporting Person and warrants to acquire 166,875 shares held by 21 April Fund, LP, an affiliate of the Reporting Person. The Reporting Person disclaims beneficial ownership of the warrants reported herein except to the extent of the Reporting Person's pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such warrants for purposes of Section 16 or for any other purpose. Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 14:12 UTC | DURECT CORP DRRX · Entity 75335 | PurchaseCommon Stock | 4,000,000 | $0.52 | $2,080,000.00 |
DisclosureSEC source: 0001567619-19-013856 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 26,476,546 F1 · security: This Form 4 is filed by 21 April Fund, LP ("April LP"), 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April LP, April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · shares: Pursuant to a prospectus supplement, dated June 20, 2019, DURECT Corporation (the "Company") offered 29,000,000 shares of its common stock, par value $0.0001 per share (the "Common Stock") to certain investors of the Company. Pursuant to the terms that certain Securities Purchase Agreement, dated June 20, 2019, by and among the Company, April LP, April Ltd. and certain other persons, April LP and April Ltd purchased an aggregate of 4,000,000 shares of the Common Stock of the 29,000,000 made available in the offering at a price of $0.52 per share. The 4,000,000 shares of Common Stock represent 1,300,000 shares of Common Stock directly held by April LP and 2,700,000 shares of Common Stock directly held by April Ltd. F3 · balance_after: Represents 4,726,893, 16,067,709, 5,586,944 and 95,000 shares of Common Stock held directly by 21 April LP, 21 April Ltd., FEVIBM and certain separately managed accounts, including accounts for which FEIM serves as registered investment adviser (the "Separately Managed Accounts"), respectively. F4 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) a general partner of April LP, (ii) the registered investment adviser to FEVIBM as well as to April LP and April Ltd. (collectively, the "Funds"), (iii) a subsidiary of FEHI and (iv) the investment adviser to certain of the Separately Managed Accounts. FEHI disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the beneficial owner of any such securities. Read SEC document |
| May 01, 2019 Filed May 3, 2019 16:30 UTC | ARADIGM CORP ARDM · Entity 155143 | Other9.0% Senior Convertible Notes due 2021 · Derivative | 85,997 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-009760 · doc1.xml · derivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 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: 3,362,072 Underlying: Common Stock · 16,505 shares Expires 2021-04-30 F1 · security: See Exhibit 99.1. F4 · security: See Exhibit 99.1. F5 · derivative.exercise_price: See Exhibit 99.1. F7 · kind: See Exhibit 99.1. F5 · shares: See Exhibit 99.1. F7 · shares: See Exhibit 99.1. F6 · derivative.exercise_date: See Exhibit 99.1. F5 · derivative.underlying_shares: See Exhibit 99.1. F5 · balance_after: See Exhibit 99.1. F2 · ownership.nature: See Exhibit 99.1. F3 · ownership.nature: See Exhibit 99.1. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 13:52 UTC | ARADIGM CORP ARDM · Entity 155143 | Other9.0% Senior Convertible Notes due 2021 · Derivative | 141,076 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-18-005067 · doc1.xml · derivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 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: 3,276,076 Underlying: Common Stock · 27,076 shares Expires 2021-04-30 F1 · security: See Exhibit 99.1. F4 · security: See Exhibit 99.1. F5 · derivative.exercise_price: See Exhibit 99.1. F7 · kind: See Exhibit 99.1. F5 · shares: See Exhibit 99.1. F7 · shares: See Exhibit 99.1. F7 · price: See Exhibit 99.1. F6 · derivative.exercise_date: See Exhibit 99.1. F5 · derivative.underlying_shares: See Exhibit 99.1. F5 · balance_after: See Exhibit 99.1. F2 · ownership.nature: See Exhibit 99.1. F3 · ownership.nature: See Exhibit 99.1. Read SEC document |
| May 04, 2018 Filed May 8, 2018 16:01 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 9,000 | $4.55 | $40,941.00 |
DisclosureSEC source: 0001140361-18-022203 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,949,355 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,322,615 and 1,626,740 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 03, 2018 Filed May 3, 2018 16:55 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 50,000 | $4.66 | $232,975.00 |
DisclosureSEC source: 0001140361-18-021543 · doc1.xml · nonDerivative · entry 4 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,940,355 F6 · ownership.nature: Represents 3,315,233 and 1,625,122 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 02, 2018 Filed May 3, 2018 16:55 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 55,700 | $4.72 | $262,742.47 |
DisclosureSEC source: 0001140361-18-021543 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,890,355 F5 · ownership.nature: Represents 3,274,222 and 1,616,133 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 01, 2018 Filed May 2, 2018 16:45 UTC | ARADIGM CORP ARDM · Entity 155143 | Other9.0% Senior Convertible Notes due 2021 · Derivative | 25,913 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-021276 · doc1.xml · derivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 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: 3,135,000 Underlying: Common Stock · 601,728 shares Expires 2021-04-30 F1 · security: See Exhibit 99.1 F4 · security: See Exhibit 99.1 F5 · derivative.exercise_price: See Exhibit 99.1 F7 · kind: See Exhibit 99.1 F7 · shares: See Exhibit 99.1 F7 · price: See Exhibit 99.1 F6 · derivative.exercise_date: See Exhibit 99.1 F5 · derivative.underlying_shares: See Exhibit 99.1 F5 · balance_after: See Exhibit 99.1 F2 · ownership.nature: See Exhibit 99.1 F3 · ownership.nature: See Exhibit 99.1 Read SEC document |
| May 01, 2018 Filed May 3, 2018 16:55 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 14,900 | $4.83 | $71,892.50 |
DisclosureSEC source: 0001140361-18-021543 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,834,655 F4 · ownership.nature: Represents 3,228,535 and 1,606,120 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 01, 2018 Filed May 3, 2018 16:55 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 35,700 | $4.76 | $170,092.65 |
DisclosureSEC source: 0001140361-18-021543 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,819,755 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,216,314 and 1,603,441 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 26, 2018 Filed Apr 30, 2018 16:04 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 100,000 | $6.18 | $617,500.00 |
DisclosureSEC source: 0001140361-18-020485 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,784,055 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,187,032 and 1,597,023 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 23, 2018 Filed Apr 25, 2018 16:12 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 121,997 | $6.25 | $762,481.25 |
DisclosureSEC source: 0001140361-18-019529 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,684,055 F4 · ownership.nature: Represents 3,105,230 and 1,578,825 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 23, 2018 Filed Apr 25, 2018 16:12 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 100,003 | $6.00 | $600,018.00 |
DisclosureSEC source: 0001140361-18-019529 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,562,058 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,005,434 and 1,556,624 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 23, 2018 Filed Apr 26, 2018 13:16 UTC Amendment | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 121,997 | $6.00 | $731,921.00 |
DisclosureSEC source: 0001140361-18-019696 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,684,055 F4 · price: The amendment is for purposes of reflecting the correct purchase price. F5 · ownership.nature: Represents 3,105,230 and 1,578,825 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 23, 2018 Filed Apr 26, 2018 13:16 UTC Amendment | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 100,003 | $6.00 | $600,018.00 |
DisclosureSEC source: 0001140361-18-019696 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,562,058 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,005,434 and 1,556,624 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 16:33 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 28,449 | $6.05 | $172,110.76 |
DisclosureSEC source: 0001140361-18-015242 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,462,055 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,923,630 and 1,538,425 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 14:20 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 4,009 | $6.10 | $24,454.90 |
DisclosureSEC source: 0001140361-18-010092 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,433,606 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,897,030 and 1,536,576 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 20, 2018 Filed Feb 21, 2018 12:20 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 3,120 | $6.15 | $19,188.00 |
DisclosureSEC source: 0001140361-18-009244 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,429,597 F4 · ownership.nature: Represents 2,893,494 and 1,536,103 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 12:20 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 30,000 | $6.24 | $187,251.00 |
DisclosureSEC source: 0001140361-18-009244 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,426,477 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,890,742 and 1,535,735 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 15, 2018 Filed Feb 15, 2018 16:48 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 14,791 | $6.25 | $92,443.75 |
DisclosureSEC source: 0001140361-18-008694 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,396,477 F5 · ownership.nature: Represents 2,864,282, 299,662 and 1,232,533 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 14, 2018 Filed Feb 15, 2018 16:48 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 6,500 | $6.25 | $40,625.00 |
DisclosureSEC source: 0001140361-18-008694 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,381,686 F4 · ownership.nature: Represents 2,851,236, 299,662 and 1,230,788 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 16:48 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 2,100 | $6.25 | $13,125.00 |
DisclosureSEC source: 0001140361-18-008694 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,375,186 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,845,503, 299,662 and 1,230,021 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 12, 2018 Filed Feb 13, 2018 14:37 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 12,672 | $6.22 | $78,788.16 |
DisclosureSEC source: 0001140361-18-006973 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,373,086 F4 · ownership.nature: Represents 2,843,651, 299,662 and 1,229,773 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 14:37 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 22,600 | $6.21 | $140,235.26 |
DisclosureSEC source: 0001140361-18-006973 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,360,414 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,832,474, 299,662 and 1,228,278 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 08, 2018 Filed Feb 9, 2018 15:24 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 17,500 | $6.32 | $110,586.00 |
DisclosureSEC source: 0001140361-18-006264 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,337,814 F4 · ownership.nature: Represents 2,812,541, 299,662 and 1,225,611 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 15:24 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 3,800 | $6.35 | $24,122.40 |
DisclosureSEC source: 0001140361-18-006264 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,320,314 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,797,106, 299,662 and 1,223,546 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 06, 2018 Filed Feb 7, 2018 12:51 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 45,834 | $6.33 | $290,037.55 |
DisclosureSEC source: 0001140361-18-005487 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,316,514 F5 · ownership.nature: Represents 2,793,754, 299,662 and 1,223,098 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 12:51 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 5,000 | $6.33 | $31,625.00 |
DisclosureSEC source: 0001140361-18-005487 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,270,680 F4 · ownership.nature: Represents 2,753,328, 299,662 and 1,217,690 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 12:51 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 35,498 | $6.33 | $224,546.15 |
DisclosureSEC source: 0001140361-18-005487 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,265,680 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,748,918, 299,662 and 1,217,100 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 02, 2018 Filed Feb 5, 2018 12:19 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 10,300 | $6.48 | $66,699.71 |
DisclosureSEC source: 0001140361-18-004930 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,230,182 F5 · ownership.nature: Represents 2,717,609, 299,662 and 1,212,911 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 02, 2018 Filed Feb 5, 2018 12:19 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 35,208 | $6.59 | $231,967.91 |
DisclosureSEC source: 0001140361-18-004930 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,219,882 F4 · ownership.nature: Represents 2,708,524, 299,662 and 1,211,696 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 01, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | OtherCommon Stock | 293,646 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 5 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,184,274 F7 · price: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F7 · acquired: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F8 · ownership.nature: Represents 2,677,118, 299,662 and 1,207,494 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 17:33 UTC | ARADIGM CORP ARDM · Entity 155143 | OtherCommon Stock | 479,477 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-004826 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 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: 4,210,186 F1 · security: This Form 4 is filed by 21 April Fund, LP ("April LP"), 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April LP, April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · price: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F2 · acquired: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) a general partner of April LP, (ii) the registered investment adviser to FEVIBM as well as to April LP and April Ltd. (collectively, the "Funds"), (iii) a subsidiary of FEHI and (iv) FEIM is investment adviser to certain of the Separately Managed Accounts. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 22:29 UTC | INVE Technologies, Inc. INVE · Entity 7037 | OtherCommon Stock | 105,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-004824 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 1,853,004 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · price: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F2 · acquired: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., and (ii) a subsidiary of FEHI. FEHI disclaims Section 16 beneficial ownership of the shares except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 12:19 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 400 | $6.48 | $2,590.00 |
DisclosureSEC source: 0001140361-18-004930 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,184,674 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,677,471, 299,662 and 1,207,541 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| January 31, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 42,000 | $6.85 | $287,494.20 |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 4 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,477,920 F6 · ownership.nature: Represents 2,677,118, 299,662 and 1,501,140 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| January 31, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 19,485 | $6.80 | $132,478.52 |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,435,920 F5 · ownership.nature: Represents 2,640,074, 299,662 and 1,496,184 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 13,400 | $6.83 | $91,455.00 |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,416,435 F4 · ownership.nature: Represents 2,622,888, 299,662 and 1,493,885 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 13,298 | $6.71 | $89,206.97 |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,403,035 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,611,069, 299,662 and 1,492,304 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 22:26 UTC | INVE Technologies, Inc. INVE · Entity 7037 | PurchaseSeries B Non-Voting Convertible Preferred Stock · Derivative | 611,539 | $4.00 Strike: $4.00 | $2,446,156.00 |
DisclosureSEC source: 0001140361-17-047404 · doc1.xml · derivative · entry 2 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 611,539 Underlying: Common Stock · 611,539 shares Expires not disclosed F2 · derivative.exercise_price: See Exhibit 99.1, Note 2. F2 · derivative.exercise_date: See Exhibit 99.1, Note 2. F2 · derivative.expiration_date: See Exhibit 99.1, Note 2. F2 · derivative.underlying_shares: See Exhibit 99.1, Note 2. F4 · ownership.nature: See Exhibit 99.1, Note 4. Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 22:26 UTC | INVE Technologies, Inc. INVE · Entity 7037 | PurchaseSeries B Non-Voting Convertible Preferred Stock · Derivative | 2,388,461 | $4.00 Strike: $4.00 | $9,553,844.00 |
DisclosureSEC source: 0001140361-17-047404 · doc1.xml · derivative · entry 1 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,388,461 Underlying: Common Stock · 2,388,461 shares Expires not disclosed F1 · security: See Exhibit 99.1, Note 1. F2 · derivative.exercise_price: See Exhibit 99.1, Note 2. F3 · shares: See Exhibit 99.1, Note 3. F2 · derivative.exercise_date: See Exhibit 99.1, Note 2. F2 · derivative.expiration_date: See Exhibit 99.1, Note 2. F2 · derivative.underlying_shares: See Exhibit 99.1, Note 2. Read SEC document |
| May 09, 2017 Filed May 10, 2017 09:36 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 19,075 | $13.04 | $248,802.86 |
DisclosureSEC source: 0001140361-17-019221 · doc1.xml · nonDerivative · entry 4 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,389,737 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F7 · ownership.nature: Represents 2,599,340, 299,662 and 1,490,735 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 09, 2017 Filed May 10, 2017 09:36 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 13,505 | $13.04 | $176,151.12 |
DisclosureSEC source: 0001140361-17-019221 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,408,812 F6 · ownership.nature: Represents 2,599,340, 299,662 and 1,509,810 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 08, 2017 Filed May 10, 2017 09:36 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 20,477 | $13.00 | $266,201.00 |
DisclosureSEC source: 0001140361-17-019221 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,422,317 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F5 · ownership.nature: Represents 2,599,340, 313,167 and 1,509,810 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 08, 2017 Filed May 10, 2017 09:36 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 14,497 | $13.00 | $188,461.00 |
DisclosureSEC source: 0001140361-17-019221 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,442,794 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,599,340, 313,167 and 1,530,287 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 03, 2017 Filed May 4, 2017 11:47 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 3,337 | $13.00 | $43,381.00 |
DisclosureSEC source: 0001140361-17-018386 · doc1.xml · nonDerivative · entry 4 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,457,291 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F7 · ownership.nature: Represents 2,599,340, 327,664 and 1,530,287 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 03, 2017 Filed May 4, 2017 11:47 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 2,363 | $13.00 | $30,719.00 |
DisclosureSEC source: 0001140361-17-018386 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,460,628 F6 · ownership.nature: Represents 2,599,340, 327,664 and 1,533,624 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 02, 2017 Filed May 4, 2017 11:47 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 18,435 | $13.33 | $245,668.50 |
DisclosureSEC source: 0001140361-17-018386 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,462,991 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F5 · ownership.nature: Represents 2,599,340, 330,027 and 1,533,624 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 02, 2017 Filed May 4, 2017 11:47 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 13,052 | $13.33 | $173,933.56 |
DisclosureSEC source: 0001140361-17-018386 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,481,426 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,599,340, 330,027 and 1,552,059 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 01, 2017 Filed May 2, 2017 11:22 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 17,641 | $13.00 | $229,333.00 |
DisclosureSEC source: 0001140361-17-017790 · doc1.xml · nonDerivative · entry 4 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 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: 4,494,478 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F7 · ownership.nature: Represents 2,599,340, 343,079 and 1,552,059 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. 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.