organization · Reporting owner

First Eagle Investment Management, LLC

Disclosed activity across 10 companies

Tapewire entity: 50349
SEC CIK: 0001325447

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Diamond Hill Securitized Credit FundDHCIX · Entity 50340	Parent of Investment Adviser	April 22, 2026	May 01, 2026
First Eagle Credit Opportunities FundFECOF · Entity 74204	Investment Adviser	September 14, 2020	March 03, 2021
First Eagle Private Credit FundNONE · Entity 15304	10% owner	March 01, 2024	March 05, 2024
First Eagle Real Estate Debt FundFERLX · Entity 31242	Investment Adviser	March 27, 2025	April 08, 2025
First Eagle Tactical Municipal Opportunities FundFTAIX · Entity 75125	10% owner · Investment Adviser	May 30, 2025	June 09, 2025

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.

Diamond Hill Securitized Credit Fund

Report date April 22, 2026 · Filed May 01, 2026

This filing explicitly reported no securities owned.

First Eagle Credit Opportunities Fund

Report date September 14, 2020 · Filed March 03, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
FECOFSEC Table I · non-derivative	Direct	0	Reported balance Holding disclosure · report date 2020-09-14 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 0

First Eagle Private Credit Fund

Report date March 01, 2024 · Filed March 05, 2024

Jointly reported with FEPCF Founders Fund, L.P., FEPCF Founders Fund GP LLC, First Eagle Alternative Credit, LLC, First Eagle Holdings, Inc.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Shares of Beneficial InterestSEC Table I · non-derivative	IndirectSee Footnotes	8,323,734.508	Reported balance After 2024-03-01 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2024-03-01 · Purchase · Acquired 2,058,460.272 · Balance 8,323,734.508 F1: These securities are held directly by FEPCF Founders Fund, L.P. ("Founders Fund"). FEPCF Founders Fund GP LLC ("Founders Fund GP") is the sole general partner of Founders Fund. First Eagle Alternative Credit, LLC ("FEAC") is the investment advisor to Founders Fund and sole member of Founders Fund GP. First Eagle Investment Management, LLC ("FEIM") is the sole and managing member of FEAC. First Eagle Holdings, Inc. ("FEH") is the managing member of FEIM. F2: Each of the Reporting Persons (other than the direct holder of securities to the extent of its direct ownership) disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than the direct holder of securities to the extent of its direct ownership) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
Common Shares of Beneficial InterestSEC Table I · non-derivative	IndirectSee Footnotes	4,039.514	Reported balance Holding disclosure · report date 2024-03-01 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 4,039.514 F4: Includes shares acquired pursuant to the dividend reinvestment plan of First Eagle Private Credit Fund. F2: Each of the Reporting Persons (other than the direct holder of securities to the extent of its direct ownership) disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than the direct holder of securities to the extent of its direct ownership) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. F3: These securities are held directly by FEIM. FEH is the managing member of FEIM.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held directly by FEPCF Founders Fund, L.P. ("Founders Fund"). FEPCF Founders Fund GP LLC ("Founders Fund GP") is the sole general partner of Founders Fund. First Eagle Alternative Credit, LLC ("FEAC") is the investment advisor to Founders Fund and sole member of Founders Fund GP. First Eagle Investment Management, LLC ("FEIM") is the sole and managing member of FEAC. First Eagle Holdings, Inc. ("FEH") is the managing member of FEIM.

F2: Each of the Reporting Persons (other than the direct holder of securities to the extent of its direct ownership) disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than the direct holder of securities to the extent of its direct ownership) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

F3: These securities are held directly by FEIM. FEH is the managing member of FEIM.

F4: Includes shares acquired pursuant to the dividend reinvestment plan of First Eagle Private Credit Fund.

First Eagle Real Estate Debt Fund

Report date March 27, 2025 · Filed April 08, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Shares of Beneficial Interest, Class I SharesSEC Table I · non-derivative	Direct	4,000	Reported balance Holding disclosure · report date 2025-03-27 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 4,000

First Eagle Tactical Municipal Opportunities Fund

Report date May 30, 2025 · Filed June 09, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Shares of Beneficial Interest, Class I SharesSEC Table I · non-derivative	Direct	10,000	Reported balance Holding disclosure · report date 2025-05-30 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 10,000

Past disclosures · reporting ended (5)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ARADIGM CORP

Report date September 01, 2019 · Filed September 04, 2019

Section 16 reporting ended · disclosed 2019-09-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	Reported balance After 2019-09-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2019-09-01 · Other · Disposed 3,375,523 · Balance 0 F1: See Exhibit 99.1. F2: See Exhibit 99.1. F3: See Exhibit 99.1.
Warrants to purchase Common Stock (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.21 · Expires 2021-07-14	IndirectSee Footnotes	Reported balance After 2019-09-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-09-01 · Other · Disposed 259,117 · Balance 0 F4: See Exhibit 99.1. F5: See Exhibit 99.1. F2: See Exhibit 99.1. F6: See Exhibit 99.1. F7: See Exhibit 99.1. F8: See Exhibit 99.1. F9: See Exhibit 99.1.
9.0% Senior Convertible Notes due 2021SEC Table II · derivative / convertible security · Expires 2021-04-30	IndirectSee Footnotes	Reported balance After 2019-09-01 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-09-01 · Other · Disposed 3,362,072 · Balance 0 F10: See Exhibit 99.1. F11: See Exhibit 99.1. F2: See Exhibit 99.1. F12: See Exhibit 99.1. F13: See Exhibit 99.1. F8: See Exhibit 99.1. F9: 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.

F8: See Exhibit 99.1.

F9: See Exhibit 99.1.

F10: See Exhibit 99.1.

F11: See Exhibit 99.1.

F12: See Exhibit 99.1.

F13: See Exhibit 99.1.

DURECT CORP

Report date September 01, 2019 · Filed September 04, 2019

Jointly reported with First Eagle Holdings, Inc.

Section 16 reporting ended · disclosed 2019-09-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2019-09-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-09-01 · Other · Disposed 26,476,546 · Balance 0 F1: This Form 4 is filed by First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2: On September 1, 2019, the family office personnel of FEIM, including Messrs. Michael M. Kellen and Andrew Gundlach, separated their investment management business from that of FEIM, transferring their family's advisory client accounts, including the securities of the Company which were formerly controlled by FEIM, to the newly formed U.S. registered advisory firm named Bleichroeder LP. Accordingly, as of September 1, 2019, (i) none of the Entities nor any Entity account maintains any discretionary or proxy voting authority or pecuniary interest with respect to, any securities of the Company and (ii) no Entity could be deemed to beneficially own any securities of the Company. F3: The shares of Common Stock reported herein were indirectly beneficially owned by FEHI, a Delaware corporation, and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM (i) was the general partner of 21 April Fund, LP ("April LP"), (ii) was the registered investment adviser to First Eagle Value in Biotechnology Master Fund, Ltd. as well as to April LP and 21 April Fund, Ltd. (collectively, the "Funds"), and (iii) is a subsidiary of FEHI. FEHI disclaimed 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 First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4.

F2: On September 1, 2019, the family office personnel of FEIM, including Messrs. Michael M. Kellen and Andrew Gundlach, separated their investment management business from that of FEIM, transferring their family's advisory client accounts, including the securities of the Company which were formerly controlled by FEIM, to the newly formed U.S. registered advisory firm named Bleichroeder LP. Accordingly, as of September 1, 2019, (i) none of the Entities nor any Entity account maintains any discretionary or proxy voting authority or pecuniary interest with respect to, any securities of the Company and (ii) no Entity could be deemed to beneficially own any securities of the Company.

F3: The shares of Common Stock reported herein were indirectly beneficially owned by FEHI, a Delaware corporation, and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM (i) was the general partner of 21 April Fund, LP ("April LP"), (ii) was the registered investment adviser to First Eagle Value in Biotechnology Master Fund, Ltd. as well as to April LP and 21 April Fund, Ltd. (collectively, the "Funds"), and (iii) is a subsidiary of FEHI. FEHI disclaimed 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.

First Eagle Alternative Capital BDC, Inc.

Report date March 09, 2023 · Filed March 13, 2023

Jointly reported with First Eagle Holdings, Inc.

Section 16 reporting ended · disclosed 2023-03-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2023-03-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-03-09 · Disposition to issuer · Disposed 3,745,320 · Balance 0 F1: On March 9, 2023, pursuant to an Agreement and Plan of Merger dated as of October 3, 2022 (the "Merger Agreement"), First Eagle Alternative Capital BDC, Inc., Crescent Capital BDC, Inc. ("CCAP"), Echelon Acquisition Sub, Inc., Echelon Acquisition Sub LLC and Crescent Cap Advisors, LLC ("CCAP Advisor") effected a merger pursuant to which CCAP acquired all of the outstanding shares of FCRDs common stock in a multi-step stock and cash transaction (the "Mergers"). Pursuant to the Merger Agreement, upon completion of the Mergers, each issued and outstanding share of FCRD common stock was converted into the right to receive a pro rata portion, subject to FCRD stockholder elections and the adjustment mechanisms set forth in the Merger Agreement with respect to the CCAP Consideration (as defined below), of (1) approximately $8.6 million in cash payable by CCAP, (2) 6,174,383 validly issued, fully paid and F2: continued from footnote 1: non-assessable shares of CCAPs common stock, par value $0.001 per share (together, the "CCAP Consideration") and (3) $35 million in cash payable by CCAP Advisor.
Common StockSEC Table I · non-derivative	IndirectSee footnote	0	Reported balance After 2023-03-09 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-03-09 · Disposition to issuer · Disposed 1,259,102 · Balance 0 F1: On March 9, 2023, pursuant to an Agreement and Plan of Merger dated as of October 3, 2022 (the "Merger Agreement"), First Eagle Alternative Capital BDC, Inc., Crescent Capital BDC, Inc. ("CCAP"), Echelon Acquisition Sub, Inc., Echelon Acquisition Sub LLC and Crescent Cap Advisors, LLC ("CCAP Advisor") effected a merger pursuant to which CCAP acquired all of the outstanding shares of FCRDs common stock in a multi-step stock and cash transaction (the "Mergers"). Pursuant to the Merger Agreement, upon completion of the Mergers, each issued and outstanding share of FCRD common stock was converted into the right to receive a pro rata portion, subject to FCRD stockholder elections and the adjustment mechanisms set forth in the Merger Agreement with respect to the CCAP Consideration (as defined below), of (1) approximately $8.6 million in cash payable by CCAP, (2) 6,174,383 validly issued, fully paid and F2: continued from footnote 1: non-assessable shares of CCAPs common stock, par value $0.001 per share (together, the "CCAP Consideration") and (3) $35 million in cash payable by CCAP Advisor. F3: Shares held directly by First Eagle Alternative Credit, LLC ("FEAC"), which is the investment adviser to the Issuer. First Eagle Investment Management, LLC ("FEIM") is the sole and managing member of FEAC. First Eagle Holdings, Inc. ("FEH") is the managing member of FEIM. FEH may be deemed to have voting and investment power with respect to all of the shares held by FEIM and FEAC. FEIM may be deemed to have voting and investment power with respect to all shares held by FEAC. FEH disclaims beneficial ownership of the shares held by FEIM and FEAC, except to the extent of any pecuniary interests therein. FEIM disclaims beneficial ownership of the shares held by FEAC except to the extent of any pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: On March 9, 2023, pursuant to an Agreement and Plan of Merger dated as of October 3, 2022 (the "Merger Agreement"), First Eagle Alternative Capital BDC, Inc., Crescent Capital BDC, Inc. ("CCAP"), Echelon Acquisition Sub, Inc., Echelon Acquisition Sub LLC and Crescent Cap Advisors, LLC ("CCAP Advisor") effected a merger pursuant to which CCAP acquired all of the outstanding shares of FCRDs common stock in a multi-step stock and cash transaction (the "Mergers"). Pursuant to the Merger Agreement, upon completion of the Mergers, each issued and outstanding share of FCRD common stock was converted into the right to receive a pro rata portion, subject to FCRD stockholder elections and the adjustment mechanisms set forth in the Merger Agreement with respect to the CCAP Consideration (as defined below), of (1) approximately $8.6 million in cash payable by CCAP, (2) 6,174,383 validly issued, fully paid and

F2: continued from footnote 1: non-assessable shares of CCAPs common stock, par value $0.001 per share (together, the "CCAP Consideration") and (3) $35 million in cash payable by CCAP Advisor.

F3: Shares held directly by First Eagle Alternative Credit, LLC ("FEAC"), which is the investment adviser to the Issuer. First Eagle Investment Management, LLC ("FEIM") is the sole and managing member of FEAC. First Eagle Holdings, Inc. ("FEH") is the managing member of FEIM. FEH may be deemed to have voting and investment power with respect to all of the shares held by FEIM and FEAC. FEIM may be deemed to have voting and investment power with respect to all shares held by FEAC. FEH disclaims beneficial ownership of the shares held by FEIM and FEAC, except to the extent of any pecuniary interests therein. FEIM disclaims beneficial ownership of the shares held by FEAC except to the extent of any pecuniary interests therein.

INTEVAC INC

Report date September 01, 2019 · Filed September 04, 2019

Jointly reported with First Eagle Holdings, Inc.

Section 16 reporting ended · disclosed 2019-09-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2019-09-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-09-01 · Other · Disposed 4,949,355 · Balance 0 F1: This Form 4 is filed by First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F4: On September 1, 2019, the family office personnel of FEIM, including Messrs. Michael M. Kellen and Andrew Gundlach, separated their investment management business from that of FEIM, transferring their family's advisory client accounts, including the securities of Intevac, Inc. (the "Company") which were formerly controlled by FEIM, to the newly formed U.S. registered advisory firm named Bleichroeder LP. Accordingly, as of September 1, 2019, (i) none of the Entities nor any Entity account maintains any discretionary or proxy voting authority or pecuniary interest with respect to, any securities of the Company and (ii) no Entity could be deemed to beneficially own any securities of the Company. F2: The shares of Common Stock reported herein were indirectly beneficially owned by FEHI, a Delaware corporation, and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM (i) was the registered investment adviser to 21 April Fund, Ltd. ("April Ltd."), (ii) is a subsidiary of FEHI and (iii) was 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 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaimed Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, prior to September 1, 2019, and this report shall not be deemed an admission that FEHI was the Section 16 beneficial owner of any such securities prior to that time.

Filing footnotes · ownership attribution and instrument terms

F2: The shares of Common Stock reported herein were indirectly beneficially owned by FEHI, a Delaware corporation, and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM (i) was the registered investment adviser to 21 April Fund, Ltd. ("April Ltd."), (ii) is a subsidiary of FEHI and (iii) was 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 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaimed Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, prior to September 1, 2019, and this report shall not be deemed an admission that FEHI was the Section 16 beneficial owner of any such securities prior to that time.

F4: On September 1, 2019, the family office personnel of FEIM, including Messrs. Michael M. Kellen and Andrew Gundlach, separated their investment management business from that of FEIM, transferring their family's advisory client accounts, including the securities of Intevac, Inc. (the "Company") which were formerly controlled by FEIM, to the newly formed U.S. registered advisory firm named Bleichroeder LP. Accordingly, as of September 1, 2019, (i) none of the Entities nor any Entity account maintains any discretionary or proxy voting authority or pecuniary interest with respect to, any securities of the Company and (ii) no Entity could be deemed to beneficially own any securities of the Company.

INVE Technologies, Inc.

Report date September 01, 2019 · Filed September 04, 2019

Jointly reported with First Eagle Holdings, Inc.

Section 16 reporting ended · disclosed 2019-09-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	Reported balance After 2019-09-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-09-01 · Other · Disposed 1,853,004 · Balance 0 F1: See Exhibit 99.1; Note 1. F2: See Exhibit 99.1; Note 2. F3: See Exhibit 99.1; Note 3.
Series B Non-Voting Convertible Preferred Stock, $0.001 parSEC Table II · derivative / convertible security · Conversion / exercise price $4.00	Direct	Reported balance After 2019-09-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-09-01 · Other · Disposed 3,000,000 · Balance 0 F1: See Exhibit 99.1; Note 1. F4: See Exhibit 99.1; Note 4. F2: See Exhibit 99.1; Note 2.
Series B Non-Voting Convertible Preferred Stock, $0.001 parSEC Table II · derivative / convertible security · Conversion / exercise price $4.00	IndirectSee Footnote	Reported balance After 2019-09-01 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-09-01 · Other · Disposed 2,000,000 · Balance 0 F4: See Exhibit 99.1; Note 4. F2: See Exhibit 99.1; Note 2. F5: See Exhibit 99.1; Note 5.

Filing footnotes · ownership attribution and instrument terms

F1: See Exhibit 99.1; Note 1.

F2: See Exhibit 99.1; Note 2.

F3: See Exhibit 99.1; Note 3.

F4: See Exhibit 99.1; Note 4.

F5: See Exhibit 99.1; Note 5.

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
January 31, 2018 Filed Feb 1, 2018 14:18 UTC	INTEVAC INC IVAC · Entity 81388	PurchaseCommon Stock	42,000	$6.85	$287,494.20	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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
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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.