organization · Reporting owner
First Eagle Holdings, Inc.
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| First Eagle Private Credit FundNONE · Entity 15304 | 10% owner | March 01, 2024 | March 05, 2024 |
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.
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 Investment Management, LLC
| 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 rowRow 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 rowRow 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.
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
DURECT CORP
Report date September 01, 2019 · Filed September 04, 2019
Jointly reported with First Eagle Investment Management, LLC
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 rowRow 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 Investment Management, LLC
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 rowRow 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 rowRow 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 Investment Management, LLC
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 rowRow 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
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: 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 Investment Management, LLC
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 rowRow 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 | 0 |
Reported balance
After 2019-09-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2019-09-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 01, 2024 Filed Mar 5, 2024 21:30 UTC | First Eagle Private Credit Fund NONE · Entity 15304 | PurchaseCommon Shares of Beneficial Interest | 2,058,460.272 | $24.29 | $50,000,000.01 |
DisclosureSEC source: 0001140361-24-011418 · form4.xml · nonDerivative · entry 1 FEPCF Founders Fund, L.P. · CIK 0001979612 · 10% owner FEPCF Founders Fund GP LLC · CIK 0001985381 · 10% owner First Eagle Alternative Credit, LLC · CIK 0001491455 · 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: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 8,323,734.508 F1 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| October 06, 2023 Filed Oct 11, 2023 20:20 UTC | First Eagle Private Credit Fund NONE · Entity 15304 | PurchaseCommon Shares of Beneficial Interest | 2,052,545.156 | $24.36 | $50,000,000.00 |
DisclosureSEC source: 0001140361-23-047838 · form4.xml · nonDerivative · entry 2 FEPCF Founders Fund, L.P. · CIK 0001979612 · 10% owner FEPCF Founders Fund GP LLC · CIK 0001985381 · 10% owner First Eagle Alternative Credit, LLC · CIK 0001491455 · 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: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,265,274.236 F1 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| October 06, 2023 Filed Oct 11, 2023 20:20 UTC | First Eagle Private Credit Fund NONE · Entity 15304 | PurchaseCommon Shares of Beneficial Interest | 3,160,729.08 | $24.14 | $76,299,999.99 |
DisclosureSEC source: 0001140361-23-047838 · form4.xml · nonDerivative · entry 1 FEPCF Founders Fund, L.P. · CIK 0001979612 · 10% owner FEPCF Founders Fund GP LLC · CIK 0001985381 · 10% owner First Eagle Alternative Credit, LLC · CIK 0001491455 · 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: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 4,212,729.08 F1 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| July 10, 2023 Filed Jul 12, 2023 23:22 UTC | First Eagle Private Credit Fund NONE · Entity 15304 | PurchaseCommon Shares of Beneficial Interest | 1,052,000 | $25.00 | $26,300,000.00 |
DisclosureSEC source: 0001140361-23-034294 · form4.xml · nonDerivative · entry 1 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: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,052,000 F1 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 16:43 UTC | First Eagle Alternative Capital BDC, Inc. FCRD · Entity 115492 | Disposition to issuerCommon Stock | 1,259,102 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-018207 · doc4.xml · nonDerivative · entry 2 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: 0 F1 · price: 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 · price: 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 · ownership.nature: 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. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 16:43 UTC | First Eagle Alternative Capital BDC, Inc. FCRD · Entity 115492 | Disposition to issuerCommon Stock | 3,745,320 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-018207 · doc4.xml · nonDerivative · entry 1 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: 0 F1 · price: 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 · price: 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. Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 17:50 UTC | DURECT CORP DRRX · Entity 75335 | OtherCommon Stock | 26,476,546 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017896 · doc1.xml · nonDerivative · entry 1 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: 0 F1 · security: 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 · kind: 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. F2 · shares: 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. F2 · balance_after: 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 · ownership.nature: 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. Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 17:54 UTC | INTEVAC INC IVAC · Entity 81388 | OtherCommon Stock | 4,949,355 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017899 · doc1.xml · nonDerivative · entry 1 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: 0 F1 · security: 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 · kind: 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. F4 · shares: 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 · balance_after: 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. F4 · balance_after: 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. F3 · ownership.nature: 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. Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 21:51 UTC | INVE Technologies, Inc. INVE · Entity 7037 | OtherSeries B Non-Voting Convertible Preferred Stock, $0.001 par · Derivative | 2,000,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017897 · doc1.xml · derivative · entry 3 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: 0 Underlying: Common Stock · 2,000,000 shares Expires not disclosed F4 · derivative.exercise_price: See Exhibit 99.1; Note 4. F2 · kind: See Exhibit 99.1; Note 2. F2 · shares: See Exhibit 99.1; Note 2. F4 · derivative.exercise_date: See Exhibit 99.1; Note 4. F4 · derivative.expiration_date: See Exhibit 99.1; Note 4. F4 · derivative.underlying_shares: See Exhibit 99.1; Note 4. F2 · balance_after: See Exhibit 99.1; Note 2. F5 · ownership.nature: See Exhibit 99.1; Note 5. Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 21:51 UTC | INVE Technologies, Inc. INVE · Entity 7037 | OtherSeries B Non-Voting Convertible Preferred Stock, $0.001 par · Derivative | 3,000,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017897 · doc1.xml · derivative · entry 2 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: 0 Underlying: Common Stock · 3,000,000 shares Expires not disclosed F1 · security: See Exhibit 99.1; Note 1. F4 · derivative.exercise_price: See Exhibit 99.1; Note 4. F2 · kind: See Exhibit 99.1; Note 2. F2 · shares: See Exhibit 99.1; Note 2. F4 · derivative.exercise_date: See Exhibit 99.1; Note 4. F4 · derivative.expiration_date: See Exhibit 99.1; Note 4. F4 · derivative.underlying_shares: See Exhibit 99.1; Note 4. F2 · balance_after: See Exhibit 99.1; Note 2. Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 21:51 UTC | INVE Technologies, Inc. INVE · Entity 7037 | OtherCommon Stock | 1,853,004 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017897 · doc1.xml · nonDerivative · entry 1 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: 0 F1 · security: See Exhibit 99.1; Note 1. F2 · kind: See Exhibit 99.1; Note 2. F2 · shares: See Exhibit 99.1; Note 2. F2 · balance_after: See Exhibit 99.1; Note 2. F3 · ownership.nature: See Exhibit 99.1; Note 3. Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 14:12 UTC | DURECT CORP DRRX · Entity 75335 | PurchaseCommon Stock | 4,000,000 | $0.52 | $2,080,000.00 |
DisclosureSEC source: 0001567619-19-013856 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, L.P. · CIK 0001459688 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,476,546 F1 · security: This Form 4 is filed by 21 April Fund, LP ("April LP"), 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April LP, April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · shares: Pursuant to a prospectus supplement, dated June 20, 2019, DURECT Corporation (the "Company") offered 29,000,000 shares of its common stock, par value $0.0001 per share (the "Common Stock") to certain investors of the Company. Pursuant to the terms that certain Securities Purchase Agreement, dated June 20, 2019, by and among the Company, April LP, April Ltd. and certain other persons, April LP and April Ltd purchased an aggregate of 4,000,000 shares of the Common Stock of the 29,000,000 made available in the offering at a price of $0.52 per share. The 4,000,000 shares of Common Stock represent 1,300,000 shares of Common Stock directly held by April LP and 2,700,000 shares of Common Stock directly held by April Ltd. F3 · balance_after: Represents 4,726,893, 16,067,709, 5,586,944 and 95,000 shares of Common Stock held directly by 21 April LP, 21 April Ltd., FEVIBM and certain separately managed accounts, including accounts for which FEIM serves as registered investment adviser (the "Separately Managed Accounts"), respectively. F4 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) a general partner of April LP, (ii) the registered investment adviser to FEVIBM as well as to April LP and April Ltd. (collectively, the "Funds"), (iii) a subsidiary of FEHI and (iv) the investment adviser to certain of the Separately Managed Accounts. FEHI disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the beneficial owner of any such securities. Read SEC document |
| May 30, 2018 Filed Jun 1, 2018 16:46 UTC | INVE Technologies, Inc. INVE · Entity 7037 | PurchaseSeries B Non-Voting Convertible Preferred Stock, $0.001 par · Derivative | 407,693 | $4.00 Strike: $4.00 | $1,630,772.00 |
DisclosureSEC source: 0001140361-18-026734 · doc1.xml · derivative · entry 2 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: 1,019,232 Underlying: Common Stock · 407,693 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 |
| May 30, 2018 Filed Jun 1, 2018 16:46 UTC | INVE Technologies, Inc. INVE · Entity 7037 | PurchaseSeries B Non-Voting Convertible Preferred Stock, $0.001 par · Derivative | 1,592,307 | $4.00 Strike: $4.00 | $6,369,228.00 |
DisclosureSEC source: 0001140361-18-026734 · doc1.xml · derivative · entry 1 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: 3,980,768 Underlying: Common Stock · 1,592,307 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 04, 2018 Filed May 8, 2018 16:01 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 9,000 | $4.55 | $40,941.00 |
DisclosureSEC source: 0001140361-18-022203 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,949,355 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,322,615 and 1,626,740 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 03, 2018 Filed May 3, 2018 16:55 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 50,000 | $4.66 | $232,975.00 |
DisclosureSEC source: 0001140361-18-021543 · doc1.xml · nonDerivative · entry 4 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,940,355 F6 · ownership.nature: Represents 3,315,233 and 1,625,122 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 02, 2018 Filed May 3, 2018 16:55 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 55,700 | $4.72 | $262,742.47 |
DisclosureSEC source: 0001140361-18-021543 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,890,355 F5 · ownership.nature: Represents 3,274,222 and 1,616,133 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 01, 2018 Filed May 3, 2018 16:55 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 14,900 | $4.83 | $71,892.50 |
DisclosureSEC source: 0001140361-18-021543 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,834,655 F4 · ownership.nature: Represents 3,228,535 and 1,606,120 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| May 01, 2018 Filed May 3, 2018 16:55 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 35,700 | $4.76 | $170,092.65 |
DisclosureSEC source: 0001140361-18-021543 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,819,755 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,216,314 and 1,603,441 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 26, 2018 Filed Apr 30, 2018 16:04 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 100,000 | $6.18 | $617,500.00 |
DisclosureSEC source: 0001140361-18-020485 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,784,055 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,187,032 and 1,597,023 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 23, 2018 Filed Apr 25, 2018 16:12 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 121,997 | $6.25 | $762,481.25 |
DisclosureSEC source: 0001140361-18-019529 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,684,055 F4 · ownership.nature: Represents 3,105,230 and 1,578,825 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 23, 2018 Filed Apr 25, 2018 16:12 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 100,003 | $6.00 | $600,018.00 |
DisclosureSEC source: 0001140361-18-019529 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,562,058 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,005,434 and 1,556,624 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 23, 2018 Filed Apr 26, 2018 13:16 UTC Amendment | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 121,997 | $6.00 | $731,921.00 |
DisclosureSEC source: 0001140361-18-019696 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,684,055 F4 · price: The amendment is for purposes of reflecting the correct purchase price. F5 · ownership.nature: Represents 3,105,230 and 1,578,825 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| April 23, 2018 Filed Apr 26, 2018 13:16 UTC Amendment | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 100,003 | $6.00 | $600,018.00 |
DisclosureSEC source: 0001140361-18-019696 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,562,058 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 3,005,434 and 1,556,624 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 16:33 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 28,449 | $6.05 | $172,110.76 |
DisclosureSEC source: 0001140361-18-015242 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,462,055 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,923,630 and 1,538,425 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 14:20 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 4,009 | $6.10 | $24,454.90 |
DisclosureSEC source: 0001140361-18-010092 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,433,606 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,897,030 and 1,536,576 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 20, 2018 Filed Feb 21, 2018 12:20 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 3,120 | $6.15 | $19,188.00 |
DisclosureSEC source: 0001140361-18-009244 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,429,597 F4 · ownership.nature: Represents 2,893,494 and 1,536,103 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 12:20 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 30,000 | $6.24 | $187,251.00 |
DisclosureSEC source: 0001140361-18-009244 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,426,477 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,890,742 and 1,535,735 shares held directly by 21 April Ltd. and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by April Ltd. except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 15, 2018 Filed Feb 15, 2018 16:48 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 14,791 | $6.25 | $92,443.75 |
DisclosureSEC source: 0001140361-18-008694 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,396,477 F5 · ownership.nature: Represents 2,864,282, 299,662 and 1,232,533 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 14, 2018 Filed Feb 15, 2018 16:48 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 6,500 | $6.25 | $40,625.00 |
DisclosureSEC source: 0001140361-18-008694 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,381,686 F4 · ownership.nature: Represents 2,851,236, 299,662 and 1,230,788 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 16:48 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 2,100 | $6.25 | $13,125.00 |
DisclosureSEC source: 0001140361-18-008694 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,375,186 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,845,503, 299,662 and 1,230,021 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 12, 2018 Filed Feb 13, 2018 14:37 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 12,672 | $6.22 | $78,788.16 |
DisclosureSEC source: 0001140361-18-006973 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,373,086 F4 · ownership.nature: Represents 2,843,651, 299,662 and 1,229,773 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 14:37 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 22,600 | $6.21 | $140,235.26 |
DisclosureSEC source: 0001140361-18-006973 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,360,414 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,832,474, 299,662 and 1,228,278 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 08, 2018 Filed Feb 9, 2018 15:24 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 17,500 | $6.32 | $110,586.00 |
DisclosureSEC source: 0001140361-18-006264 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,337,814 F4 · ownership.nature: Represents 2,812,541, 299,662 and 1,225,611 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 15:24 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 3,800 | $6.35 | $24,122.40 |
DisclosureSEC source: 0001140361-18-006264 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,320,314 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,797,106, 299,662 and 1,223,546 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 06, 2018 Filed Feb 7, 2018 12:51 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 45,834 | $6.33 | $290,037.55 |
DisclosureSEC source: 0001140361-18-005487 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,316,514 F5 · ownership.nature: Represents 2,793,754, 299,662 and 1,223,098 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 12:51 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 5,000 | $6.33 | $31,625.00 |
DisclosureSEC source: 0001140361-18-005487 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,270,680 F4 · ownership.nature: Represents 2,753,328, 299,662 and 1,217,690 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 12:51 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 35,498 | $6.33 | $224,546.15 |
DisclosureSEC source: 0001140361-18-005487 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,265,680 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,748,918, 299,662 and 1,217,100 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 02, 2018 Filed Feb 5, 2018 12:19 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 10,300 | $6.48 | $66,699.71 |
DisclosureSEC source: 0001140361-18-004930 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,230,182 F5 · ownership.nature: Represents 2,717,609, 299,662 and 1,212,911 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 02, 2018 Filed Feb 5, 2018 12:19 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 35,208 | $6.59 | $231,967.91 |
DisclosureSEC source: 0001140361-18-004930 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,219,882 F4 · ownership.nature: Represents 2,708,524, 299,662 and 1,211,696 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 01, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | OtherCommon Stock | 293,646 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 5 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,184,274 F7 · price: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F7 · acquired: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F8 · ownership.nature: Represents 2,677,118, 299,662 and 1,207,494 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 22:29 UTC | INVE Technologies, Inc. INVE · Entity 7037 | OtherCommon Stock | 105,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-004824 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,853,004 F1 · security: This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · price: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F2 · acquired: As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., and (ii) a subsidiary of FEHI. FEHI disclaims Section 16 beneficial ownership of the shares except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 12:19 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 400 | $6.48 | $2,590.00 |
DisclosureSEC source: 0001140361-18-004930 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,184,674 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,677,471, 299,662 and 1,207,541 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| January 31, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 42,000 | $6.85 | $287,494.20 |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 4 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,477,920 F6 · ownership.nature: Represents 2,677,118, 299,662 and 1,501,140 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| January 31, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 19,485 | $6.80 | $132,478.52 |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,435,920 F5 · ownership.nature: Represents 2,640,074, 299,662 and 1,496,184 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 13,400 | $6.83 | $91,455.00 |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,416,435 F4 · ownership.nature: Represents 2,622,888, 299,662 and 1,493,885 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 14:18 UTC | INTEVAC INC IVAC · Entity 81388 | PurchaseCommon Stock | 13,298 | $6.71 | $89,206.97 |
DisclosureSEC source: 0001140361-18-004372 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,403,035 F1 · security: This Form 4 is filed by 21 April Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM"), First Eagle Value in Biotechnology Master Fund, Ltd. ("FEVIBM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd., FEIM and FEVIBM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. F2 · balance_after: The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to FEVIBM as well as to April Ltd. (collectively, the "Funds"), (ii) a subsidiary of FEHI and (iii) investment adviser to certain separately managed accounts which, together with certain separate accounts managed by Michael M. Kellen in his individual capacity holding shares reported by FEIM for which FEIM disclaims beneficial ownership are defined herein as the "Separately Managed Accounts". FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. F3 · ownership.nature: Represents 2,611,069, 299,662 and 1,492,304 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 22:26 UTC | INVE Technologies, Inc. INVE · Entity 7037 | PurchaseSeries B Non-Voting Convertible Preferred Stock · Derivative | 611,539 | $4.00 Strike: $4.00 | $2,446,156.00 |
DisclosureSEC source: 0001140361-17-047404 · doc1.xml · derivative · entry 2 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 611,539 Underlying: Common Stock · 611,539 shares Expires not disclosed F2 · derivative.exercise_price: See Exhibit 99.1, Note 2. F2 · derivative.exercise_date: See Exhibit 99.1, Note 2. F2 · derivative.expiration_date: See Exhibit 99.1, Note 2. F2 · derivative.underlying_shares: See Exhibit 99.1, Note 2. F4 · ownership.nature: See Exhibit 99.1, Note 4. Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 22:26 UTC | INVE Technologies, Inc. INVE · Entity 7037 | PurchaseSeries B Non-Voting Convertible Preferred Stock · Derivative | 2,388,461 | $4.00 Strike: $4.00 | $9,553,844.00 |
DisclosureSEC source: 0001140361-17-047404 · doc1.xml · derivative · entry 1 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,388,461 Underlying: Common Stock · 2,388,461 shares Expires not disclosed F1 · security: See Exhibit 99.1, Note 1. F2 · derivative.exercise_price: See Exhibit 99.1, Note 2. F3 · shares: See Exhibit 99.1, Note 3. F2 · derivative.exercise_date: See Exhibit 99.1, Note 2. F2 · derivative.expiration_date: See Exhibit 99.1, Note 2. F2 · derivative.underlying_shares: See Exhibit 99.1, Note 2. Read SEC document |
| May 09, 2017 Filed May 10, 2017 09:36 UTC | INTEVAC INC IVAC · Entity 81388 | SaleCommon Stock | 19,075 | $13.04 | $248,802.86 |
DisclosureSEC source: 0001140361-17-019221 · doc1.xml · nonDerivative · entry 4 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner First Eagle Value in Biotechnology Master Fund, Ltd. · CIK 0001457518 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,389,737 F4 · shares: These shares are indirectly beneficially owned by certain Separately Managed Accounts. F7 · ownership.nature: Represents 2,599,340, 299,662 and 1,490,735 shares held directly by 21 April Ltd., FEVIBM and the Separately Managed Accounts, respectively. FEHI disclaims Section 16 beneficial ownership of the shares held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.