|
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 | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
(2) Represents less than 0.1%.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(1) See Items 3 and 5.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(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.
|
1 |
Names of Reporting Persons | |||
| |||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||
|
|
(a) |
o | ||
|
|
(b) |
x | ||
| |||||
|
3 |
SEC Use Only | |||
| |||||
|
4 |
Source of Funds | |||
| |||||
|
5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
|
6 |
Citizenship or Place of Organization | |||
| |||||
Number of |
7 |
Sole Voting Power | |||
| |||||
8 |
Shared Voting Power | ||||
| |||||
9 |
Sole Dispositive Power | ||||
| |||||
10 |
Shared Dispositive Power | ||||
| |||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares o | |||
| |||||
|
13 |
Percent of Class Represented by Amount in Row 11 | |||
| |||||
|
14 |
Type of Reporting Person | |||
(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.
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 Issuers 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 ODea
Maria Grunwald
Maysoun Shomali
Michael Rosenblatt
Nick Harvey
Charles OBrien
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
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 Companys common stock, par value $.01 per share (the Former Operating Company Common Stock), and shares of the Former Operating Companys 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 Issuers 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 Issuers 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 Issuers 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 Issuers 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.
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 Issuers 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 Issuers initial public offering, as reported in the Issuers 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 Issuers initial public offering, based on information provided by the Issuer:
|
|
|
|
|
|
Number of Shares as to which the Reporting |
| ||||||
Name |
|
Amount |
|
Percent of |
|
Sole Voting |
|
Shared |
|
Sole |
|
Shared |
|
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 |
|
|
|
|
|
|
|
Number of Shares as to which the Reporting |
| ||||||
Name |
|
Amount |
|
Percent of |
|
Sole Voting |
|
Shared |
|
Sole |
|
Shared |
|
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 ODea |
|
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 OBrien (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 |
|
|
|
|
|
|
|
Number of Shares as to which the Reporting |
| ||||||
Name |
|
Amount |
|
Percent of |
|
Sole Voting |
|
Shared |
|
Sole |
|
Shared |
|
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 OBrien 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 Issuers Common Stock as of June 11, 2014, the closing date of the Issuers 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 |
|
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 Issuers Current Report on Form 8-K filed with the Securities and Exchange Commission on April 30, 2014. |
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
|
/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
|
The Cecil Richard Lyttle 2012 Grantor | ||
|
|
| |
|
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
|
/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
|
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
|
/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 ODea | ||
|
Louis ODea | ||
|
|
| |
|
|
| |
|
/s/ Maria Grunwald | ||
|
Maria Grunwald | ||
|
|
| |
|
|
| |
|
/s/ Maysoun Shomali | ||
|
Maysoun Shomali | ||
|
|
| |
|
|
| |
|
/s/ Michael Rosenblatt | ||
|
Michael Rosenblatt, M.D. | ||
Signature Page to Schedule 13D Amendment
|
/s/ Brian Nicholas Harvey | ||
|
Brian Nicholas Harvey | ||
|
|
| |
|
|
| |
|
OBrien Living Trust | ||
|
|
| |
|
By: |
/s/ Charles OBrien | |
|
Name: |
Charles OBrien | |
|
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
|
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
|
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
Schedule A
Certain Information Regarding the Reporting Persons
NAME |
|
RESIDENCE OR BUSINESS |
|
PRESENT PRINCIPAL |
|
STATE OF |
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 |
H. Watt Gregory, III |
|
Suite 2000 124 West Capitol Avenue Little Rock, AR 72201 |
|
Attorney - Suite 2000 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 ODea |
|
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 OBrien |
|
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 |
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 |
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. |
|