organization · Reporting owner

21 APRIL FUND, LTD.

Disclosed activity across 5 companies

Tapewire entity: 154711
SEC CIK: 0001459708

Reported 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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

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 API

Purchases/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
May 01, 2017 Filed May 2, 2017 11:22 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	12,490	$13.00	$162,370.00	Disclosure SEC source: 0001140361-17-017790 · 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: 4,512,119 F6 · ownership.nature: Represents 2,599,340, 343,079 and 1,569,700 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
April 28, 2017 Filed May 2, 2017 11:22 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	1,815	$13.02	$23,625.67	Disclosure SEC source: 0001140361-17-017790 · 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: 4,524,609 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F5 · ownership.nature: Represents 2,599,340, 355,569 and 1,569,700 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
April 28, 2017 Filed May 2, 2017 11:22 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	1,285	$13.02	$16,726.72	Disclosure SEC source: 0001140361-17-017790 · 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: 4,526,424 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, 355,569 and 1,571,515 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
April 27, 2017 Filed Apr 28, 2017 10:04 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	31,138	$13.01	$405,064.90	Disclosure SEC source: 0001140361-17-017253 · 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: 4,527,709 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F7 · ownership.nature: Represents 2,599,340, 356,854 and 1,571,515 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
April 27, 2017 Filed Apr 28, 2017 10:04 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	22,047	$13.01	$286,802.81	Disclosure SEC source: 0001140361-17-017253 · 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: 4,558,847 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. F6 · ownership.nature: Represents 2,599,340, 356,854 and 1,602,653 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
April 26, 2017 Filed Apr 28, 2017 10:04 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	37,254	$13.03	$485,274.33	Disclosure SEC source: 0001140361-17-017253 · 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: 4,580,894 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F5 · ownership.nature: Represents 2,599,340, 378,901 and 1,602,653 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
April 26, 2017 Filed Apr 28, 2017 10:04 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	26,376	$13.03	$343,576.41	Disclosure SEC source: 0001140361-17-017253 · 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: 4,618,148 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, 378,901 and 1,639,907 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
April 25, 2017 Filed Apr 26, 2017 14:39 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	138,617	$13.34	$1,848,707.21	Disclosure SEC source: 0001140361-17-016840 · doc1.xml · nonDerivative · entry 6 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: 4,644,524 F7 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. 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. F9 · ownership.nature: Represents 2,599,340, 405,277 and 1,639,907 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
April 25, 2017 Filed Apr 26, 2017 14:39 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	5,855	$13.43	$78,603.38	Disclosure SEC source: 0001140361-17-016840 · 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: 4,783,141 F7 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. 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. F8 · ownership.nature: Represents 2,599,340, 405,277 and 1,778,524 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
April 25, 2017 Filed Apr 26, 2017 14:39 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	98,143	$13.34	$1,308,913.56	Disclosure SEC source: 0001140361-17-016840 · 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: 4,788,996 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. F6 · ownership.nature: Represents 2,599,340, 405,277 and 1,784,379 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
April 25, 2017 Filed Apr 26, 2017 14:39 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	4,145	$13.43	$55,646.63	Disclosure SEC source: 0001140361-17-016840 · 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: 4,887,139 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. F5 · ownership.nature: Represents 2,599,340, 503,420 and 1,784,379 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
April 24, 2017 Filed Apr 26, 2017 14:39 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	10,000	$13.65	$136,500.00	Disclosure SEC source: 0001140361-17-016840 · 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: 4,891,284 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. F4 · ownership.nature: Represents 2,599,340, 507,565 and 1,784,379 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
April 24, 2017 Filed Apr 26, 2017 14:39 UTC	INTEVAC INC IVAC · Entity 81388	SaleCommon Stock	82,097	$13.70	$1,124,860.26	Disclosure SEC source: 0001140361-17-016840 · 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: 4,901,284 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, 517,565 and 1,784,379 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 02, 2016 Filed Dec 6, 2016 17:13 UTC	ARADIGM CORP ARDM · Entity 155143	PurchaseWarrants to purchase Common Stock (right to buy) · Derivative	259,117	$5.21 Strike: $5.21	$1,349,999.57	Disclosure SEC source: 0001140361-16-088916 · doc1.xml · derivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 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: 259,117 Underlying: Common Stock · 259,117 shares Expires 2021-07-14 F1 · security: See Exhibit 99.1. F2 · derivative.exercise_price: See Exhibit 99.1. F3 · shares: See Exhibit 99.1. F2 · price: See Exhibit 99.1. F4 · derivative.exercise_date: See Exhibit 99.1. F3 · derivative.underlying_shares: See Exhibit 99.1. F3 · balance_after: See Exhibit 99.1. F5 · ownership.nature: See Exhibit 99.1. F6 · ownership.nature: See Exhibit 99.1. Read SEC document
November 03, 2016 Filed Nov 4, 2016 15:43 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	20,000	$1.14	$22,800.00	Disclosure SEC source: 0001140361-16-084885 · doc1.xml · nonDerivative · entry 3 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: 22,476,546 F2 · shares: These shares are indirectly beneficially owned by certain separately managed accounts, including accounts for which FEIM serves as registered investment adviser (the "Separately Managed Accounts"). F3 · 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) 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. F6 · ownership.nature: Represents 3,426,893, 13,367,709, 5,586,944 and 95,000 shares held directly by 21 April LP, 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
November 03, 2016 Filed Nov 4, 2016 15:43 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	25,000	$1.14	$28,497.50	Disclosure SEC source: 0001140361-16-084885 · doc1.xml · nonDerivative · entry 2 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: 22,456,546 F2 · shares: These shares are indirectly beneficially owned by certain separately managed accounts, including accounts for which FEIM serves as registered investment adviser (the "Separately Managed Accounts"). F3 · 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) 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. F5 · ownership.nature: Represents 3,426,893, 13,367,709, 5,586,944 and 75,000 shares held directly by 21 April LP, 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
November 03, 2016 Filed Nov 4, 2016 15:43 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	50,000	$1.18	$59,000.00	Disclosure SEC source: 0001140361-16-084885 · 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: 22,431,546 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: These shares are indirectly beneficially owned by certain separately managed accounts, including accounts for which FEIM serves as registered investment adviser (the "Separately Managed Accounts"). F3 · 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) 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. F4 · ownership.nature: Represents 3,426,893, 13,367,709, 5,586,944 and 50,000 shares held directly by 21 April LP, 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
September 26, 2016 Filed Sep 28, 2016 12:47 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	200,000	$1.15	$230,000.00	Disclosure SEC source: 0001140361-16-080886 · doc1.xml · nonDerivative · entry 3 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 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: Direct Disclosed balance after: 22,381,546 F5 · shares: Represents 40,809 and 159,191 shares purchased by 21 April LP and 21 April Ltd., 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. F6 · ownership.direct: Represents 3,426,893, 13,367,709, and 5,586,944 shares held directly by 21 April LP, 21 April Ltd. and FEVIBM, 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
September 26, 2016 Filed Sep 28, 2016 12:47 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	318,776	$1.10	$350,653.60	Disclosure SEC source: 0001140361-16-080886 · doc1.xml · nonDerivative · entry 2 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 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: Direct Disclosed balance after: 22,181,546 F3 · shares: Represents 63,678 and 255,098 shares purchased by 21 April LP and 21 April Ltd., 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. F4 · ownership.direct: Represents 3,386,084, 13,208,518, and 5,586,944 shares held directly by 21 April LP, 21 April Ltd. and FEVIBM, 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
September 26, 2016 Filed Sep 28, 2016 12:47 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	1,981,224	$1.16	$2,298,219.84	Disclosure SEC source: 0001140361-16-080886 · doc1.xml · nonDerivative · entry 1 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 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: Direct Disclosed balance after: 21,862,770 F1 · shares: Represents 259,957 and 1,721,267 shares purchased by 21 April Fund, LP ("21 April LP") and 21 April Fund, Ltd. ("21 April Ltd."), respectively. First Eagle Investment Management, LLC ("FEIM") is (i) a general partner of 21 April LP, (ii) the registered investment adviser to First Eagle Value in Biotechnology Master Fund, Ltd. "FEVIBM" as well as to 21 April LP and 21 April Ltd. (collectively, the "Funds") and (iii) a subsidiary of First Eagle Holdings, Inc. ("FEHI"). 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. F2 · ownership.direct: Represents 3,322,406, 12,953,420, and 5,586,944 shares held directly by 21 April LP, 21 April Ltd. and FEVIBM, 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.