SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

[Rule 13d-101]

 

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO

§ 240.13d-2(a)

 

(Amendment No. 1)*

 

Radius Health, Inc.

(Name of Issuer)

 

Common Stock, $0.0001 par value

(Title of Class of Securities)

 

750469 108

(CUSIP Number)

 

Mr. Nicholas Harvey

201 Broadway, 6th Floor

Cambridge, MA 02139

Tel: (617) 551-4700

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

June 6, 2014

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.

(Continued on following page)

 


* The remainder of this cover page shall be filled out for a reporting person's filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 



 

 

1

Names of Reporting Persons
Alwyn Michael Parfitt, M.D.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United Kingdom

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
122

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
122

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
122 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)   See Items 3 and 5.

(2)   Represents less than 0.1%.

 

2



 

 

1

Names of Reporting Persons
Barnette Pitzele

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
116

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
116

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
116(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5.

(2)           Represents less than 0.1%.

 

3



 

 

1

Names of Reporting Persons
Bart Henderson

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
13,363

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
13,363

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
13,363 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5.

(2)           Represents less than 0.1%.

 

4



 

 

1

Names of Reporting Persons
Benjamin C. Lane

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
3,563

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
3,563

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,563 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5.

(2)           Represents less than 0.1%.

 

5



 

 

1

Names of Reporting Persons
Benita S. Katzenellenbogen, PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
82

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
82

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
82 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5.

(2)           Represents less than 0.1%.

 

6



 

 

1

Names of Reporting Persons
Board of Trustees of the University of Arkansas

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
7,602

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
7,602

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
7,602 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Board of Trustees

 


(1)           See Items 3 and 5.

(2)           Represents less than 0.1%.

 

7



 

 

1

Names of Reporting Persons
The Breining Family Trust dated August 15, 2003

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
California, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
2,177

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
2,177

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
2,177 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)           See Items 3 and 5.

(2)           Represents less than 0.1%.

 

8



 

 

1

Names of Reporting Persons
Cecil Richard Lyttle

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Canada

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
335,242

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
335,242

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
335,242 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
1.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5.

 

9



 

 

1

Names of Reporting Persons
Chris Glass

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
584

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
584

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
584 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5.

(2)           Represents less than 0.1%.

 

10



 

 

1

Names of Reporting Persons
Christopher Miller

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
28,005

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
28,005

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
28,005 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5.

 

11



 

 

1

Names of Reporting Persons
The David E. Thompson Revocable Trust

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Indiana, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
10,573

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
10,573

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
10,573 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

12



 

 

1

Names of Reporting Persons
Dotty McIntyre

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
390

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
390

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
390 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

13



 

 

1

Names of Reporting Persons
Dr. Dennis A. Carson

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
233

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
233

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
233 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

14



 

 

1

Names of Reporting Persons
H. Watt Gregory III

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
7,146

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
7,146

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
7,146 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

15



 

 

1

Names of Reporting Persons
H2 Enterprises, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
2,247

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
2,247

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
2,247 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Limited Liability Company

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

16



 

 

1

Names of Reporting Persons
Hostetler Family Trust UTD 3/18/92

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
California, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
3,594

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
3,594

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,594(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

17



 

 

1

Names of Reporting Persons
John Katzenellenbogen, PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
6,853

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
6,853

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
6,853 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

18



 

 

1

Names of Reporting Persons
John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Illinois, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
17,735

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
17,735

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,735 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                 See Items 3 and 5.

 

19



 

 

1

Names of Reporting Persons
Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephen K. Potts dated 6-15-05

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Massachusetts, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
8,899

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
8,899

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
8,899 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

20



 

 

1

Names of Reporting Persons
John Thomas Potts, M.D.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
32,560

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
32,560

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
32,560 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

 

21



 

 

1

Names of Reporting Persons
Jonathan Guerriero

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
6,432

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
6,432

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
6,432 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

22



 

 

1

Names of Reporting Persons
Jonnie K. Westbrook Revocable Trust dated March 17, 2000

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
159

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
159

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
159 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

23



 

 

1

Names of Reporting Persons
Julie Glowacki

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
40

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
40

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
40 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

24



 

 

1

Names of Reporting Persons
Kathy Welch

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
3,969

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
3,969

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,969 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

25



 

 

1

Names of Reporting Persons
Kelly Colbourn

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
44

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
44

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
44 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

26



 

 

1

Names of Reporting Persons
E. Kelly Sullivan

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
410

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
410

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
410 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

27



 

 

1

Names of Reporting Persons
The Kent C. Westbrook Revocable Trust, Dated March 17, 2000

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
20

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
20

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

28



 

 

1

Names of Reporting Persons
Louis O’Dea

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Canada

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
84,687

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
84,687

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
84,687 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.3%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

 

29



 

 

1

Names of Reporting Persons
Maria Grunwald

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
5,979

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
5,979

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
5,979 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

30



 

 

1

Names of Reporting Persons
Maysoun Shomali

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
1,045

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
1,045

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
1,045 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

31



 

 

1

Names of Reporting Persons
Michael Rosenblatt, M.D.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
19,650

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
19,650

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
19,650 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

 

32



 

 

1

Names of Reporting Persons
Brian Nicholas Harvey

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
104,761

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
104,761

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
104,761 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.4%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

 

33



 

 

1

Names of Reporting Persons
Charles O’Brien

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
61

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
61

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
61 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

34



 

 

1

Names of Reporting Persons
Patricia E. Rosenblatt

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
18,871

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
18,871

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
18,871 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

 

35



 

 

1

Names of Reporting Persons
Dr. Raymond F. Schinazi

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
40,744

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
40,744

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
40,744 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

 

36



 

 

1

Names of Reporting Persons
Robert L. Jilka, PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
250

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
250

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
250 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

37



 

 

1

Names of Reporting Persons
Robert S. Weinstein, M.D.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
184

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
184

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
184 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

38



 

 

1

Names of Reporting Persons
Ruff Trust dated 1-1-02

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
2,406

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
2,406

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
2,406 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

39



 

 

1

Names of Reporting Persons
Samuel Ho

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Canada

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
365

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
365

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
365 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

40



 

 

1

Names of Reporting Persons
Socrates E. Papapoulos, M.D.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Netherlands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
40

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
40

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
40 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

41



 

 

1

Names of Reporting Persons
Stavros C. Manolagas

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
39,929

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
39,929

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
39,929 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

 

42



 

 

1

Names of Reporting Persons
Stavroula Kousteni, PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Greece

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
184

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
184

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
184 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

43



 

 

1

Names of Reporting Persons
Teresita M. Bellido, PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
102

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
102

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
102 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

44



 

 

1

Names of Reporting Persons
The Richman Trust dated 2/6/83

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
California, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
3,907

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
3,907

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,907 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

45



 

 

1

Names of Reporting Persons
Thomas E. Sparks, Jr.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
387

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
387

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
387 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

46



 

 

1

Names of Reporting Persons
Tonya D. Goss (formerly Smith)

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
28

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
28

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
28 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
(2)

 

 

14

Type of Reporting Person
IN

 


(1)                                 See Items 3 and 5.

(2)                                 Represents less than 0.1%.

 

47



 

 

1

Names of Reporting Persons
C.C. Consulting A/S

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Denmark

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
3,023,712

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
3,023,712

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,023,712 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
10.4%(1)

 

 

14

Type of Reporting Person
OO

 


(1)           See Items 3 and 5.

 

48



 

 

1

Names of Reporting Persons
Claus Christiansen, MD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Denmark

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
3,023,712

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
3,023,712

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,023,712 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
10.4%(1)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5. Claus Christiansen, MD, and Bente Riis Christiansen each own 50% of C.C. Consulting A/S (“C.C. Consulting”) and share all voting and investment power with respect to these shares. Each of C.C. Consulting, Dr. Claus Christiansen and Messr. Bente Riis Christiansen disclaim beneficial ownership of the shares except to the extent of their pecuniary interest therein.

 

49



 

 

1

Names of Reporting Persons
Bente Riis Christiansen

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Denmark

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
3,023,712

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
3,023,712

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,023,712 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
10.4%(1)

 

 

14

Type of Reporting Person
IN

 


(1)           See Items 3 and 5. Claus Christiansen, MD, and Bente Riis Christiansen each own 50% of C.C. Consulting A/S (“C.C. Consulting”) and share all voting and investment power with respect to these shares. Each of C.C. Consulting, Dr. Claus Christiansen and Messr. Bente Riis Christiansen disclaim beneficial ownership of the shares except to the extent of their pecuniary interest therein.

 

50



 

EXPLANATORY NOTE

 

This Amendment No. 1 to Schedule 13D (this “Amendment No. 1”) amends and supplements the Statement on Schedule 13D filed by the Reporting Persons (as defined below) on January 27, 2012, as amended prior to the date hereof (the “Initial Statement,” and as amended hereby, this “Statement”), with respect to the common stock, par value $0.0001 per share (the “Common Stock”), of Radius Health, Inc., a Delaware corporation (the “Issuer”). This Amendment is being filed to report the dissolution of the group comprised of the Reporting Persons and the Separately Filing Group Members (as defined below), as further described in Item 5. This Amendment also updates certain information included in the Initial Statement.

 

Except for the amounts of shares of Common Stock and Preferred Stock (as defined below) discussed in Item 3 herein, and unless otherwise noted, all shares of Issuer securities reported in this Amendment give effect to the one-for-2.28 reverse stock split effected by the Issuer on April 24, 2014 and the closing of the Issuer’s initial public offering on June 11, 2014, including the conversion of all outstanding shares of preferred stock, par value $0.0001 per share (the “Preferred Stock”), of the Issuer, if any, held by the Reporting Persons, into shares of Common Stock.

 

Except as otherwise provided herein, each Item of the Initial Statement remains unchanged.

 

Item 2.  Identity and Background.

 

Item 2 is hereby amended and restated in its entirety as follows:

 

Each of the following is hereinafter individually referred to as a “Reporting Person” and collectively as the “Reporting Persons.”  This statement is filed on behalf of:

 

Alwyn Michael Parfitt, M.D.

Barry Pitzele

Bart Henderson

Ben Lane

Benita S. Katzenellenbogen, Ph.D.

Board of Trustees of the University of Arkansas

Breining Family Trust

Chris Glass

Christopher Miller

David E. Thompson Revocable Trust

Dotty McIntyre, RA (Paquin)

Dr. Dennis A. Carson

H. Watt Gregory, III

H2 Enterprises, LLC

Hostetler Family Trust

John Katzenellenbogen

John Katzenellenbogen Trust

John Thomas Potts Trust

John Thomas Potts, Jr.

Jonathan Guerriero

Jonnie K. Westbrook Revocable Trust dated March 17, 2000

Julianne Glowacki, Ph.D.

Kathy Welch

Kelly Colbourn

Kelly Sullivan

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000

Louis O’Dea

Maria Grunwald

Maysoun Shomali

Michael Rosenblatt

Nick Harvey

Charles O’Brien

 

51



 

Patricia Rosenblatt

Raymond F. Schinazi

Richard Lyttle

Robert L. Jilka, Ph.D.

Robert S. Weinstein, M.D.

Ruff Trust

Samuel Ho

Socrates E. Papapoulos, M.D.

Stavros C. Manolagas

Stavroula Kousteni, Ph.D.

Teresita M. Bellido, Ph.D.

The Richman Trust

Thomas E. Sparks, Jr.

Tonya D. Goss (formerly Smith)

C.C. Consulting A/S

Claus Christiansen, MD

Bente Riis Christiansen

 

The address, the present principal occupation or employment, and the state of citizenship or organization for each of the Reporting Persons can be found on Schedule A, the contents of which are incorporated herein to this Item 2 by reference.

 

During the last five years, none of the Reporting Persons (i) have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

 

Prior to June 6, 2014 (the “Effective Date”), the Reporting Persons were parties to a certain agreement (the “Prior Stockholders’ Agreement”) with the other persons referred to on Schedule B attached to this Amendment No. 1 (the “Separately Filing Group Members”), which contained, among other things, certain director election provisions and price-based transfer restrictions on the shares of Common Stock held by Reporting Persons. As a result, the Reporting Persons may have belonged to a “group,” within the meaning of Section 13(d)(3) of the Act, comprised of the Reporting Persons and the Separately Filing Group Members. It is the understanding of the Reporting Persons that the Separately Filing Group Members have filed or are filing separate Amendments to Schedule 13Ds pursuant to Rule 13d-1(k)(2) under the Act. Ownership information of the Separately Filing Group Members is or will be reflected in the separate filings made by the Separately Filing Group Members.

 

On April 24, 2014, the Issuer, the Reporting Persons and the Separately Filing Group Members entered into a Fifth Amended and Restated Stockholders’ Agreement (the “New Stockholders’ Agreement”), which became effective on the Effective Date and amended and restated in its entirety the Prior Stockholders’ Agreement. The New Stockholders’ Agreement eliminated the aforementioned voting agreements and limitations on the sale of the shares of Common Stock held by the Reporting Persons and the Separately Filing Group Members.  With the termination of such agreements, any group within the meaning of Section 13(d)(3) of the Act that may have been deemed to have been formed among the Reporting Persons and the Separately Filing Group Members has been terminated, effective as of the Effective Date.  Each Reporting Person expressly disclaims membership in any such group and beneficial ownership of any securities beneficially owned by any other Reporting Person (other than as reported herein) or Separately Filing Group Member.  Any further filings with respect to securities of the Issuer, if required, shall be filed by each Reporting Person separately or jointly with their affiliates.  The Reporting Persons are filing a Notice of Dissolution of Group as Exhibit 6 attached hereto.

 

Item 3.  Source and Amount of Funds or Other Consideration.

 

Item 3 is hereby amended and restated in its entirety as follows:

 

Pursuant to an Agreement and Plan of Merger dated April 25, 2011 (the “Merger Agreement”), by and among the Issuer (under its former name of MPM Acquisition Corp.), RHI Merger Corp., a Delaware corporation and wholly owned subsidiary of the Company (“MergerCo”), and Radius Health, Inc., a Delaware corporation (the “Former Operating Company”), MergerCo merged with and into the Former Operating Company, with the Former Operating Company remaining as the surviving entity and a wholly-owned operating subsidiary of the Issuer. This

 

52



 

transaction is referred to as the “Merger.” The Merger was effective as of May 17, 2011, upon the filing of a certificate of merger with the Delaware Secretary of State.  At the effective time of the Merger (the “Effective Time”), the legal existence of MergerCo ceased and all of the shares of the Former Operating Company’s common stock, par value $.01 per share (the “Former Operating Company Common Stock”), and shares of the Former Operating Company’s preferred stock, par value $.01 per share (the “Former Operating Company Preferred Stock”), that were outstanding immediately prior to the Merger were cancelled and each outstanding share of Former Operating Company Common Stock outstanding immediately prior to the Effective Time was automatically converted into the right to receive one share of the Issuer’s Common Stockand each outstanding share of Former Operating Company Preferred Stock outstanding immediately prior to the Effective Time was automatically converted into the right to receive one-tenth of one share of the Issuer’s Preferred Stock as consideration for the Merger.  Each share of the Preferred Stock was initially convertible at the time of issuance thereof into ten (10) shares of the Common Stock.

 

Pursuant to a Stock Issuance Agreement (as defined below), Nordic Bioscience Clinical Development VII A/S (“Nordic”) agreed, on March 29, 2011, to purchase the equivalent of €371,864 of Series A-5 Preferred Stock of the Former Operating Company at $8.142 per share, and the Former Operating Company sold 64,430 shares of its Series A-5 Preferred Stock to Nordic on May 17, 2011 for proceeds of $525,154.  These shares were exchanged in the Merger for an aggregate of 6,443 shares of the Issuer’s Series A-5 Convertible Stock, par value $0.0001 per share (the “Series A-5 Stock”).

 

Following the Merger on May 17, 2011, the Board approved a transaction pursuant to which the Former Operating Company merged with and into the Issuer, leaving the Issuer as the surviving corporation (the “Short-Form Merger”). In connection with the Short-Form Merger, the Issuer relinquished its corporate name and assumed in its place the name “Radius Health, Inc.” The Short-Form Merger and name change became effective on May 17, 2011, upon the filing of a Certificate of Ownership and Merger with the Delaware Secretary of State.

 

On November 18, 2011, pursuant to the terms of that certain Series A-1 Convertible Preferred Stock Purchase Agreement (as amended, the “Series A-1 Stock Purchase Agreement”), dated as of April 25, 2011, among the Issuer and the investors referenced therein (the “Investors”), the Issuer issued an aggregate of 263,178 shares (the “Stage II Series A-1 Shares”) of its Series A-1 Convertible Preferred Stock, par value $0.0001 per share (the “Series A-1 Stock”), to the Investors.  Such shares were issued in connection with the consummation of the Stage II Closing contemplated by the Series A-1 Stock Purchase Agreement at a purchase price of $81.42 per share resulting in aggregate proceeds to the Issuer of $21,427,952.76.  On December 14, 2011, pursuant to the terms of the Stock Purchase Agreement, the Issuer issued an aggregate of 263,180 shares (the “Stage III Series A-1 Shares” and together with the Stage II Series A-1 Shares, the “Series A-1 Shares”) of its Series A-1 Stock, to the Investors.  Such shares were issued in connection with the consummation of the Stage III Closing contemplated by the Series A-1 Stock Purchase Agreement at a purchase price of $81.42 per share resulting in aggregate proceeds to the Issuer of $21,428,115.60.

 

On April 23, 2013 and May 10, 2013, pursuant to the terms of that certain Series B Convertible Preferred Stock and Warrant Purchase Agreement (the “Series B Stock Purchase Agreement”), dated as of April 23, 2013, among the Issuer and the investors referenced therein (the “Series B Investors”), the Issuer issued to the Series B Investors (i) an aggregate of 701,235 shares (the “Series B Shares”) of its Series B Convertible Preferred Stock, par value $0.0001 per share, and (ii) warrants to purchase, for an initial exercise price of $6.142 per share, up to an aggregate of 768,897 (giving effect to the Issuer’s one-for-2.28 reverse stock split on April 24, 2014) shares of Common Stock (the “Warrants” and together with the Series B Shares, the “Series B Securities”).  Such Series B Securities were issued in connection with the consummation of the Initial Closing and the Second Closing contemplated by the Series B Stock Purchase Agreement in exchange for aggregate proceeds received by the Issuer of $43,069,853.70.

 

On December 31, 2013, the Board declared a dividend of seventy-seven (77) shares of Series A-6 Convertible Preferred Stock, par value $0.0001 per share, of the Issuer (the “Series A-6 Stock) on and in respect of each share of Series A-5 Stock outstanding at the close of business on such date, resulting in the issuance to Nordic on such date of 496,111 shares of Series A-6 Stock.  On March 31, 2014, the Board declared another dividend of twenty-nine (29) shares of Series A-6 Stock on and in respect of each share of Series A-5 Stock outstanding at the close of business on such date, resulting in the issuance to Nordic on such date of 186,847 shares of Series A-6 Stock.

 

53



 

On February 14, 2014, February 19, 2014, February 24, 2014 and March 28, 2014, pursuant to the terms of that certain Series B-2 Convertible Preferred Stock and Warrant Purchase Agreement (the “Series B-2 Stock Purchase Agreement”), dated as of February 14, 2014, among the Issuer and the investors referenced therein (the “Series B-2 Investors”), the Issuer issued to the Series B-2 Investors, including certain Reporting Persons, (i) an aggregate of 448,060 shares (the “Series B-2 Shares”) of its Series B-2 Convertible Preferred Stock, par value $0.0001 per share, and (ii) warrants to purchase, for an initial exercise price of $6.142 per share, up to an aggregate of 491,293 (giving effect to the Issuer’s one-for-2.28 reverse stock split on April 24, 2014) shares of Common Stock (the “New Warrants” and together with the Series B-2 Shares, the “Series B-2 Securities”).  Such Series B-2 Securities were issued in connection with the consummation of the Initial Closing and a Subsequent Closing contemplated by the Series B-2 Stock Purchase Agreement in exchange for aggregate proceeds received by the Issuer of $27,519,845.20.

 

Item 4.  Purpose of the Transaction.

 

Item 4 remains unchanged.

 

Item 5.  Interest in Securities of the Issuer.

 

Item 5 is hereby amended and restated in its entirety as follows:

 

The aggregate number of Issuer securities beneficially owned by each Reporting Person, and the percentage of outstanding Common Stock owned by each Reporting Person, is set forth below and is based on 29,213,449 shares of Common Stock outstanding after the Issuer’s initial public offering, as reported in the Issuer’s Registration Statement on Form S-1 filed on June 2, 2014 and giving effect to the issuance of 274,550 shares of Common Stock to holders of Preferred Stock in connection with the Issuer’s initial public offering, based on information provided by the Issuer:

 

 

 

 

 

 

 

Number of Shares as to which the Reporting
Person has:

 

Name

 

Amount
Beneficially
Owned

 

Percent of
Class

 

Sole Voting
Power

 

Shared
Voting
Power

 

Sole
Dispositive
Power

 

Shared
Dispositive
Power

 

Alwyn Michael Parfitt, M.D.

 

122

 

*

 

122

 

0

 

122

 

0

 

Barry Pitzele

 

116

 

*

 

116

 

0

 

116

 

0

 

Bart Henderson

 

13,363

 

*

 

13,363

 

0

 

13,363

 

0

 

Ben Lane

 

3,563

 

*

 

3,563

 

0

 

3,563

 

0

 

Benita S. Katzenellenbogen, Ph.D.

 

82

 

*

 

82

 

0

 

82

 

0

 

Board of Trustees of the University of Arkansas

 

7,602

 

*

 

0

 

7,602

 

0

 

7,602

 

Breining Family Trust

 

2,177

 

*

 

0

 

2,177

 

0

 

2,177

 

Chris Glass

 

584

 

*

 

584

 

0

 

584

 

0

 

Christopher Miller

 

28,005

 

0.1

%

28,005

 

0

 

28,005

 

0

 

David E. Thompson Revocable Trust

 

10,573

 

*

 

0

 

10,573

 

0

 

10,573

 

Dotty McIntyre, RA (Paquin)

 

390

 

*

 

390

 

0

 

390

 

0

 

Dr. Dennis A. Carson

 

233

 

*

 

233

 

0

 

233

 

0

 

H. Watt Gregory, III

 

7,146

 

*

 

7,146

 

0

 

7,146

 

0

 

 

54



 

 

 

 

 

 

 

Number of Shares as to which the Reporting
Person has:

 

Name

 

Amount
Beneficially
Owned

 

Percent of
Class

 

Sole Voting
Power

 

Shared
Voting
Power

 

Sole
Dispositive
Power

 

Shared
Dispositive
Power

 

H2 Enterprises, LLC

 

2,247

 

*

 

0

 

2,247

 

0

 

2,247

 

Hostetler Family Trust

 

3,594

 

*

 

0

 

3,594

 

0

 

3,594

 

John Katzenellenbogen

 

6,853

 

*

 

6,853

 

0

 

6,853

 

0

 

John Katzenellenbogen Trust

 

17,735

 

0.1

%

0

 

17,735

 

0

 

17,735

 

John Thomas Potts Trust

 

8,899

 

*

 

0

 

8,899

 

0

 

8,899

 

John Thomas Potts, Jr.

 

32,560

 

0.1

%

32,560

 

0

 

32,560

 

0

 

Jonathan Guerriero

 

6,432

 

*

 

6,432

 

0

 

6,432

 

0

 

Jonnie K. Westbrook Revocable Trust dated March 17, 2000

 

159

 

*

 

0

 

159

 

0

 

159

 

Julianne Glowacki, Ph.D.

 

40

 

*

 

40

 

0

 

40

 

0

 

Kathy Welch

 

3,969

 

*

 

3,969

 

0

 

3,969

 

0

 

Kelly Colbourn

 

44

 

*

 

44

 

0

 

44

 

0

 

Kelly Sullivan

 

410

 

*

 

410

 

0

 

410

 

0

 

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000

 

20

 

*

 

0

 

20

 

0

 

20

 

Louis O’Dea

 

84,687

 

0.3

%

84,687

 

0

 

84,687

 

0

 

Maria Grunwald

 

5,979

 

*

 

5,979

 

0

 

5,979

 

0

 

Maysoun Shomali

 

1,045

 

*

 

1,045

 

0

 

1,045

 

0

 

Michael Rosenblatt

 

19,650

 

0.1

%

19,650

 

0

 

19,650

 

0

 

Nick Harvey

 

104,761

 

0.4

%

104,761

 

0

 

104,761

 

0

 

Charles O’Brien (1)

 

61

 

*

 

61

 

0

 

61

 

0

 

Patricia Rosenblatt

 

18,871

 

0.1

%

18,871

 

0

 

18,871

 

0

 

Raymond F. Schinazi

 

40,744

 

0.1

%

40,744

 

0

 

40,744

 

0

 

Richard Lyttle (2)

 

335,242

 

1.1

%

335,242

 

0

 

335,242

 

0

 

Robert L. Jilka, Ph.D.

 

250

 

*

 

250

 

0

 

250

 

0

 

Robert S. Weinstein, M.D.

 

184

 

*

 

184

 

0

 

184

 

0

 

Ruff Trust

 

2,406

 

*

 

0

 

2,406

 

0

 

2,406

 

Samuel Ho

 

365

 

*

 

365

 

0

 

365

 

0

 

Socrates E. Papapoulos, M.D.

 

40

 

*

 

40

 

0

 

40

 

0

 

Stavros C. Manolagas

 

39,929

 

0.1

%

39,929

 

0

 

39,929

 

0

 

Stavroula Kousteni, Ph.D.

 

184

 

*

 

184

 

0

 

184

 

0

 

 

55



 

 

 

 

 

 

 

Number of Shares as to which the Reporting
Person has:

 

Name

 

Amount
Beneficially
Owned

 

Percent of
Class

 

Sole Voting
Power

 

Shared
Voting
Power

 

Sole
Dispositive
Power

 

Shared
Dispositive
Power

 

Teresita M. Bellido, Ph.D.

 

102

 

*

 

102

 

0

 

102

 

0

 

The Richman Trust

 

3,907

 

*

 

0

 

3,907

 

0

 

3,907

 

Thomas E. Sparks, Jr.

 

387

 

*

 

387

 

0

 

387

 

0

 

Tonya D. Goss (formerly Smith)

 

28

 

*

 

28

 

0

 

28

 

0

 

C.C. Consulting A/S(3)

 

3,023,712

 

10.4

%

0

 

3,023,712

 

0

 

3,023,712

 

Claus Christiansen, M.D.(3)

 

3,023,712

 

10.4

%

0

 

3,023,712

 

0

 

3,023,712

 

Bente Riis Christiansen(3)

 

3,023,712

 

10.4

%

0

 

3,023,712

 

0

 

3,023,712

 

 


*  Represents less than 0.1%.

 

(1)  Shares are held indirectly by O’Brien Living Trust.

 

(2) Includes options to purchase an aggregate of 306,003 shares of Common Stock held by Cecil Richard Lyttle 2012 Grantor Trust and exercisable within 60 days of the date hereof.

 

(3) Claus Christiansen, MD, and Bente Riis Christiansen each own 50% of C.C. Consulting A/S (“C.C. Consulting”) and share all voting and investment power with respect to these shares. Each of C.C. Consulting, Dr. Claus Christiansen and Messr. Bente Riis Christiansen disclaim beneficial ownership of the shares except to the extent of their pecuniary interest therein.

 

As a result of the changes effected by the New Stockholders’ Agreement, which became effective on Effective Date, any group within the meaning of Section 13(d)(3) of the Act that may have been deemed to have been formed among the Reporting Persons and the Separately Filing Group Members has been terminated, effective as of such date.  Each Reporting Person expressly disclaims membership in any such group and beneficial ownership of any securities beneficially owned by any other Reporting Person (other than as reported herein) or Separately Filing Group Member.  Any further filings with respect to securities of the Issuer, if required, shall be filed by each Reporting Person separately or jointly with their affiliates.  Reference is made to Exhibit 6 hereto.

 

(c)                                  In the past 60 days, the Reporting Persons have engaged in the following transactions in the Common Stock of the Issuer:

 

None.

 

(d)                                 No other person is known to have the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of, shares beneficially owned by any of the Reporting Persons.

 

(e)                                  With the exception of C.C. Consulting, Claus Christiansen, MD, and Bente Riis Christiansen, each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the Issuer’s Common Stock as of June 11, 2014, the closing date of the Issuer’s initial public offering.

 

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

 

Item 6 is hereby amended and restated in its entirety as follows:

 

The portion of Item 2 containing the description of the termination of the Prior Stockholders’ Agreement and associated termination of any group within the meaning of Section 13(d)(3) of the Act that may have been deemed to have been formed among the parties thereto, and Item 3, are incorporated by reference into this Item 6.

 

Item 7. Material to be Filed as Exhibits.

 

Item 7 is amended and supplemented as follows:

 

Exhibit
Number

 

Description

4

 

Fifth Amended and Restated Stockholders’ Agreement dated April 24, 2014, by and among the Issuer and the stockholders party thereto***

 

 

 

5

 

Joint Filing Agreement, dated as of June 13, 2014, by and among the Reporting Persons.

 

 

 

6

 

Notice of Dissolution of Group, dated as of June 13, 2014.

 


***

Incorporated by reference from the Issuer’s Current Report on Form 8-K filed with the Securities and Exchange Commission on April 30, 2014.

 

56



 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated:  June 13, 2014

 

57



 

 

/s/ Alwyn Michael Parfitt

 

Alwyn Michael Parfitt, M.D.

 

 

 

 

 

/s/ Barnett Pitzele

 

Barnett Pitzele

 

 

 

 

 

/s/ Bart Henderson

 

Bart Henderson

 

 

 

 

 

/s/ Benjamin C. Lane

 

Benjamin C. Lane

 

 

 

 

 

/s/ Benita S. Katzenellenbogen

 

Benita S. Katzenellenbogen, PhD

 

 

 

BOARD OF TRUSTEES OF THE UNIVERSITY OF ARKANSAS

 

 

 

By:

/s/ Ann Kemp

 

Name:

Ann Kemp

 

Title:

Vice President for Administration University of Arkansas System

 

 

 

The Breining Family Trust Dated August 15, 2003

 

 

 

By:

/s/ Clifford Breining

 

Name:

Clifford Breining

 

Title:

Trustee

 

Signature Page to Schedule 13D Amendment

 

58



 

 

The Cecil Richard Lyttle 2012 Grantor
Retained Annuity Trust

 

 

 

 

By:

/s/ Cecil Richard Lyttle

 

Name:

Cecil Richard Lyttle

 

Title:

Co-Trustee

 

 

 

 

By:

/s/ Linda J Lyttle

 

Name:

Linda J. Lyttle

 

Title:

Co-Trustee

 

 

 

 

 

 

 

/s/ Chris Glass

 

Chris Glass

 

 

 

 

 

 

 

/s/ Christopher Miller

 

Christopher Miller

 

 

 

 

 

 

 

The David E. Thompson Revocable Trust

 

 

 

By:

/s/ David E. Thompson

 

Name:

David E. Thompson

 

Title:

Trustee

 

 

 

 

 

 

 

/s/ Dotty McIntyre

 

Dotty McIntyre

 

Signature Page to Schedule 13D Amendment

 

59



 

 

/s/ Dennis A. Carson

 

Dr. Dennis A. Carson

 

 

 

 

 

 

 

/s/ H. Watt Gregory III

 

H. Watt Gregory III

 

 

 

 

 

 

 

H2 ENTERPRISES, LLC

 

 

 

By:

/s/ H. Watt Gregory III

 

Name:

H. Watt Gregory III

 

Title:

Managing Member

 

 

 

 

 

 

 

Hostetler Family Trust UTD 3/18/92

 

 

 

By:

/s/ Karl Y. Hostetler

 

Name:

Karl Y. Hostetler

 

Title:

Co-Trustee

 

 

 

 

By:

/s/ Margaretha Hostetler

 

Name:

Margaretha Hostetler

 

Title:

Co-Trustee

 

 

 

 

 

 

 

/s/ John A. Katzenellenbogen

 

John A. Katzenellenbogen, PhD.

 

 

 

 

 

 

 

John A. Katzenellenbogen Trust

 

Under Agreement Dated August 2, 1999

 

 

 

 

By:

/s/ John A. Katzenellenbogen

 

Name:

John A. Katzenellenbogen

 

Title:

Trustee

 

Signature Page to Schedule 13D Amendment

 

60



 

 

Dr. John Potts, Jr and Susanne K. Potts

 

Irrevocable Trust for Stephen K. Potts

 

dated 6-15-05

 

 

 

 

By:

/s/ John Potts, Jr.

 

Name:

Dr. John Potts, Jr.

 

Title:

Trustee

 

 

 

 

 

 

 

By:

/s/ Susanne K. Potts

 

Name:

Susanne K. Potts

 

Title:

Trustee

 

 

 

 

 

 

 

/s/ John Thomas Potts

 

John Thomas Potts, M.D.

 

 

 

 

 

 

 

/s/ Jonathan Guerriero

 

Jonathan Guerriero

 

 

 

 

 

 

 

Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000

 

 

 

 

By:

/s/ Jonnie K. Westbrook

 

Name:

Jonnie K. Westbrook

 

Title:

Trustee

 

 

 

 

 

 

 

/s/ Julie Glowacki

 

Julie Glowacki

 

 

 

 

 

 

 

/s/ Kathy Welch

 

Kathy Welch

 

Signature Page to Schedule 13D Amendment

 

61



 

 

/s/ Kelly Colbourn

 

Kelly Colbourn

 

 

 

 

 

 

 

/s/ E. Kelly Sullivan

 

E. Kelly Sullivan

 

 

 

 

 

 

 

The Kent C. Westbrook Revocable Trust,

 

Dated March 17, 2000

 

 

 

 

By:

/s/ Kent C. Westbrook

 

Name:

Kent C. Westbrook

 

Title:

Trustee

 

 

 

 

 

 

 

/s/ Louis O’Dea

 

Louis O’Dea

 

 

 

 

 

 

 

/s/ Maria Grunwald

 

Maria Grunwald

 

 

 

 

 

 

 

/s/ Maysoun Shomali

 

Maysoun Shomali

 

 

 

 

 

 

 

/s/ Michael Rosenblatt

 

Michael Rosenblatt, M.D.

 

Signature Page to Schedule 13D Amendment

 

62



 

 

/s/ Brian Nicholas Harvey

 

Brian Nicholas Harvey

 

 

 

 

 

 

 

O’Brien Living Trust

 

 

 

 

By:

/s/ Charles O’Brien

 

Name:

Charles O’Brien

 

Title:

Trustee

 

 

 

 

 

 

 

/s/ Patricia E. Rosenblatt

 

Patricia E. Rosenblatt

 

 

 

 

 

 

 

/s/ Raymond F. Schinazi

 

Dr. Raymond F. Schinazi

 

 

 

 

 

 

 

/s/ Cecil Richard Lyttle

 

Cecil Richard Lyttle

 

 

 

 

 

 

 

/s/ Robert L. Jilka

 

Robert L. Jilka, PhD.

 

 

 

 

 

 

 

/s/ Robert S. Weinstein

 

Robert S. Weinstein, M.D.

 

Signature Page to Schedule 13D Amendment

 

63



 

 

Ruff Trust dated 1-1-02

 

 

 

 

By:

/s/ F. Bronson Van Wyck

 

Name:

F. Bronson Van Wyck

 

Title:

Trustee

 

 

 

 

 

 

 

/s/ Samuel Ho

 

Samuel Ho

 

 

 

 

 

 

 

/s/ Socrates E. Papapoulos

 

Socrates E. Papapoulos, M.D.

 

 

 

 

 

 

 

/s/ Stavros C. Manolagas

 

Stavros C. Manolagas

 

 

 

 

 

 

 

/s/ Stavroula Kousteni

 

Stavroula Kousteni, PhD.

 

 

 

 

 

 

 

/s/ Teresita M. Bellido

 

Teresita M. Bellido, PhD.

 

Signature Page to Schedule 13D Amendment

 

64



 

 

The Richman Trust Dated 2/6/83

 

 

 

 

 

 

 

By:

/s/ Douglas D. Richman

 

Name:

Douglas D. Richman

 

Title:

Co-TTEE

 

 

 

 

By:

/s/ Eva A. Richman

 

Name:

Eva A. Richman

 

Title:

Co-TTEE

 

 

 

 

 

 

 

/s/ Thomas E. Sparks

 

Thomas E. Sparks

 

 

 

 

 

 

 

/s/ Tonya D. Smith

 

Tonya D. Smith

 

 

 

C.C. Consulting A/S

 

 

 

By:

/s/ Claus Christiansen

 

Name: Claus Christiansen

 

Title: CEO

 

 

 

 

 

/s/ Claus Christiansen, M.D.

 

Claus Christiansen, M.D.

 

 

 

 

 

/s/ Bente Riis Christiansen

 

Bente Riis Christiansen

 

Signature Page to Schedule 13D Amendment

 

65



 

Schedule A

 

Certain Information Regarding the Reporting Persons

 

NAME

 

RESIDENCE OR BUSINESS
ADDRESS

 

PRESENT PRINCIPAL
OCCUPATION OR
EMPLOYMENT

 

STATE OF
CITIZENSHIP OR
ORGANIZATION

Alwyn Michael Parfitt, M.D.

 

28 Baeza Way

Hot Springs, AR 71909

 

Retired

 

United Kingdom

Barry Pitzele

 

7924 N. Tripp Ave.

Skokie, IL 60076

 

Consultant;

Skokie Valley Consulting Corp.

7924 N. Tripp Ave.

Skokie, IL 60076

 

United States of America

Bart Henderson

 

48 Prentiss Lane

Belmont, MA 02478

 

Biotechnology

Rhythm Pharmaceuticals

855 Boylston St.

Boston, MA 02116

 

United States of America

Ben Lane

 

1284 Deer Trail Lane

Libertyville, IL 60048

 

Industrial Liaison and Lecturer

Northwestern University

633 Clark Street Evanston, IL 60208

Business Type: Non-profit Secondary Education

 

United States of America

Benita S. Katzenellenbogen, Ph.D.

 

Department of Molecular and Integrative Physiology

University of Illinois

407 South Goodwin Ave.

Urbana, IL 61801

 

Research Professor of Physiology

University of Illinois, Teaching and Research

Board of Trustees Office

352 Henry Administration Building, MC-350

506 South Wright Street

Urbana, IL 61801, USA

 

United States of America

Board of Trustees of the University of Arkansas

 

2404 North University Avenue

Little Rock, AR 72207

 

Governing board of the University of Arkansas

 

Arkansas, United States of America

Breining Family Trust

 

76210 Via Chianti

Indian Wells, CA 92210

 

Trust Fund

 

California, United States of America

Chris Glass

 

467 San Fernando Street

San Diego, CA 92106

 

Professor of Cellular and Molecular Medicine

University of California, San Diego

9500 Gilman Drive

La Jolla, CA 93093

 

United States of America

Christopher Miller

 

1685 Milburne

Lake Forest, IL 60045

 

Intellectual Property Strategist,

Abbott Labs

200 Abbott Park Road

Abbott Park, IL 60064

 

United States of America

David E. Thompson Revocable Trust

 

1045 Mason Street, #501

San Francisco, CA 94108

 

Trust Fund

 

Indiana, United States of America

Dotty McIntyre, RA (Paquin)

 

799 Shawsheen Street

Tewksbury, MA 01876

 

Pfizer

Vet Tech II

1 Burtt Rd.

Andover, MA 01810

 

United States of America

Dr. Dennis A. Carson

 

9672 Claiborne Square

La Jolla, CA 92037

 

Professor of Medicine

University of California — San Diego

 

Moores Cancer Center

3855 Health Sciences Drive, MC 0820

La Jolla, CA 92093-0820

 

Effective 1/31/12, new address:

Sanford Consortium for Regenerative Medicine

2880 Torrey Pines Scenic Drive, MC 0695

La Jolla, CA 92093-0695

 

United States of America

 

66



 

H. Watt Gregory, III

 

Suite 2000

124 West Capitol Avenue

Little Rock, AR 72201

 

Attorney - Suite 2000
124 West Capitol Avenue

Little Rock, AR 72201

 

United States of America

H2 Enterprises, LLC

 

c/o H. Watt Gregory, III. Esq.

Kutak Rock, LLP

124 West Capitol Avenue,

Suite 2000

Little Rock, AR 72201

 

Investments

 

Arkansas, United States of America

Hostetler Family Trust

 

14024 Rue St. Raphael

Del Mar, CA 92014

 

Trust Fund

 

California, United States of America

John Katzenellenbogen

 

John A. Katzenellenbogen, Ph.D

Department of Chemistry (37-5)

University of Illinois

600 South Matthews Ave.

Urbana, IL 61801

 

Research Professor of Chemistry University of Illinois at Urbana-Champaign, IL

 

United States of America

John Katzenellenbogen Trust

 

John A. Katzenellenbogen

704 West Pennsylvania Ave

Urbana, IL 61801

 

Trust Fund

 

Illinois, United States of America

John Thomas Potts Trust

 

18 Hawthorn St.

Cambridge, MA 02138

 

Trust Fund

 

Massachusetts, United States of America

John Thomas Potts, Jr.

 

18 Hawthorn St.

Cambridge, MA 02138

 

Physician

Massachusetts General Hospital

55 Fruit Street

Boston, MA 02114

 

United States of America

Jonathan Guerriero

 

20 Bazin Lane

Canton, MA 02021

 

Drug Development Professional

Program and Alliance Management

33 Hayden Ave

Lexington, MA 02421

 

United States of America

Jonnie K. Westbrook Revocable Trust dated March 17, 2000

 

56 River Ridge Rd.

Little Rock, AR 72227

 

Trust Fund

 

Arkansas, United States of America

Julianne Glowacki, Ph.D.

 

76 Perkins Street

Jamaica Plain, MA 02130

 

Professor of Orthopedic Surgery & Professor of Oral & Maxillofacial Surgery

Brigham and Women's Hospital

75 Francis Street

Boston, MA 02115

 

United States of America

Kathy Welch

 

16 Kristyn Lane

North Reading, MA 01864

 

Controller

Triton Resources, Inc

15 New England Executive Park

Burlington, MA 01803

 

United States of America

Kelly Colbourn

 

123 Oxford Street #3

Cambridge, MA 02138

 

Administrative - Harvard University

17 Oxford Street

Cambridge, MA 02138

 

United States of America

Kelly Sullivan

 

23 Belknap Street

Arlington, MA 02474

 

Principal Scientist

N-of-One Therapeutics

400 5th Avenue, Suite 200

Waltham, MA 02451-8706

 

United States of America

The Kent C. Westbrook, M.D. Revocable Trust, Dated March 17, 2000

 

56 River Ridge Rd.

Little Rock, AR 72227

 

Trust Fund

 

Arkansas, United States of America

Louis O’Dea

 

566 Main St.

Hingham, MA 02043

 

Physician

Self-employed

 

Canada

Maria Grunwald

 

82 Pine St.

Malden, MA 02148

 

President

Audact Inc.

82 Pine St.

Malden, MA 02148

 

United States of America

Maysoun Shomali

 

354 School Street

Watertown, MA 02472

 

Scientist, Sanofi-Aventis

270 Albany St

Cambridge MA 02139

 

United States of America

Michael Rosenblatt

 

130 Lake Avenue

Newton, MA 02459

 

Chief Medical Officer, Merck & Co.

1 Merck Drive

Whitehouse Station, NJ 08889

 

United States of America

Nick Harvey

 

201 Broadway, Sixth Floor

Cambridge, MA 02139

 

Radius Health, Inc.

Chief Financial Officer

201 Broadway, 6th Floor

Cambridge, MA 02139

 

United States of America

Charles O’Brien

 

2824 Mossy Creek Drive

Little Rock, AR 72211

 

University of Arkansas for Medical Sciences

4301 W. Markham St.

Little Rock, AR 72211

 

United States of America

Patricia Rosenblatt

 

876 Beacon St. Apt. 5

Newton, MA 02459

 

Self-Employed Visual Artist

876 Beacon St. Apt. 5

Newton, MA 02459

 

United States of America

Raymond F. Schinazi

 

1860 Montreal Road

Tucker, GA 30084

 

Professor, Emory University

Medical Research 151H

1670 Clairmont Road

Atlanta, GA 30033

 

United States of America

 

67



 

Richard Lyttle

 

201 Broadway, 6th Floor

Cambridge, MA 02139

 

Radius Health, Inc.

Interim Chief Scientific Officer

201 Broadway, 6th Floor

Cambridge, MA 02139

 

Canada

Robert L. Jilka, Ph.D.

 

14202 Clarborne Court

Little Rock, AR 72211

 

Research Scientist

Central Arkansas Veterans Healthcare System

Research 151/LR

4300 W. 7th Street

Little Rock, AR 72205

 

United States of America

Robert S. Weinstein, M.D.

 

11 Chalmette

Little Rock, AR 72211

 

Physician, University of Arkansas for Medical Sciences

4301 W. Markham Street

Little Rock, AR 72205

 

United States of America

Ruff Trust

 

2141 Highway 224 East

Tukerman, AR 72473

 

Trust Fund

 

Arkansas, United States of America

Sam Ho

 

15 Hillview Ave

Holbrook, MA 02343

 

Scientist II at Novartis

250 Massachusetts Avenue

Cambridge, MA 02139, USA

 

Canada

Socrates E. Papapoulos, M.D.

 

Javastraat 64

2585 AR the Hague

The Netherlands

 

Professor of Medicine,

Leiden University Medical Center

Albinusdreef 2

2333 ZA Leiden

The Netherlands

 

Netherlands

Stavros C. Manolagas

 

UAMS Center for Osteoporosis and Metabolic Bone Diseases

Winthrop P. Rockefeller Cancer Institute, Room 817

4301 W. Markham, Slot 587

Little Rock, AR 72205-7199

 

Professor of Medicine, Director, Division of Endocrinology and Metabolism; Director, the UAMS/VA Center for Osteoporosis and Metabolic Bone Diseases; Vice Chair for Research, Department of Internal Medicine, University of Arkansas for Medical Sciences,

4301 W. Markham, Slot 587

Little Rock, AR 72205

 

Chief, Endocrinology Section, Central Arkansas Veterans Healthcare System

4300 West 7th Street

Little Rock, AR 72205

 

United States of America

Stavroula Kousteni, Ph.D.

 

58 Hillside Avenue

Glen Ridge, NJ 07028

 

Associate Professor, Departments of Medicine and Physiology

Columbia University

The Russ Berrie Medical Sciences Pavilion

Room 411

1150 Saint Nicholas Avenue

New York, NY 10032

 

Greece

Teresita M. Bellido, Ph.D.

 

9302 Windrift Way

Zionsville, Indiana 46077

 

Professor of Anatomy and Cell

Biology, and Professor of Internal Medicine

Indiana University School of Medicine

635 Barnhill Drive, MS 545A,

Indianapolis, IN 46202

 

United States of America

The Richman Trust

 

9551 La Jolla Farms Road

La Jolla, CA 92037

 

Trust Fund

 

California, United States of America

Thomas E. Sparks, Jr.

 

P.O. Box 472290

San Francisco, CA 94147-2290

 

Pillsbury Winthrop Shaw Pittman LLP

50 Fremont Street

San Francisco, CA 94105

 

United States of America

Tonya D. Goss (formerly Smith)

 

7790 Shannon Road

Pine Bluff, Arkansas 71603

 

Unemployed

 

United States of America

C.C. Consulting A/S Claus Christiansen, MD Bente Riis Christiansen

 

Herlev Hovedgade 207,

DK-2730 Herlev, Denmark

45 4454 7705

 

Danish limited liability company

(C.C. Consulting)

Principals

 

Denmark

 

68



 

Schedule B

 

Separately Filing Group Members

 

Separately Filing Group Member

 

MPM Bioventures III, L.P.

 

MPM Bioventures III-QP, L.P.

 

MPM Bioventures III GMBH & Co. Beteiligungs KG

 

MPM Bioventures III Parallel Fund, L.P.

 

MPM Asset Management Investors 2003 BVIII LLC

 

MPM Bio IV NVS Strategic Fund, L.P.

 

The Wellcome Trust Limited, as Trustee of the Wellcome Trust

 

HealthCare Ventures VII, L.P.

 

OBP IV — Holdings LLC

 

mRNA II - Holdings LLC

 

Biotech Growth N.V.

 

Ipsen Pharma SAS

 

Brookside Capital Partners Fund, L.P.

 

F2 Bioscience III, L.P.

 

F2 Bioscience IV L.P.

 

F2 Bio Ventures V L.P.

 

BB Biotech Ventures II, L.P.

 

Healthcare Private Equity Limited Partnership

 

Saints Capital Granite, L.P.

 

 

69