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SC 13G Filing
Armata Pharmaceuticals (ARMP) SC 13GAmpliPhi Biosciences Corp
Filed: 13 Feb 15, 12:00am
☐ | Rule 13d-1(b) |
☐ | Rule 13d-1(c) |
☒ | Rule 13d-1(d) |
CUSIP No. 03211P103 | 13G | Page 2 of 9 |
1 | NAMES OF REPORTING PERSONS | ||||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||||
RANDAL J. KIRK | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) | ||||
(a)☐ | |||||
(b)☒ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
UNITED STATES | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |||
46,785,712 | |||||
6 | SHARED VOTING POWER | ||||
24,000,000 | |||||
7 | SOLE DISPOSITIVE POWER | ||||
46,785,712 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
24,000,000 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
70,785,712 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
☐ | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
25.4% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN | |||||
CUSIP No. 03211P103 | 13G | Page 3 of 9 |
1 | NAMES OF REPORTING PERSONS | ||||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||||
THIRD SECURITY, LLC I.R.S. IDENTIFICATION NO.: 54-1923091 | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) | ||||
(a)☐ | |||||
(b)☒ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
UNITED STATES | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |||
46,785,712 | |||||
6 | SHARED VOTING POWER | ||||
0 | |||||
7 | SOLE DISPOSITIVE POWER | ||||
46,785,712 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
46,785,712 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
☐ | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
16.8% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO – limited liability company | |||||
CUSIP No. 03211P103 | 13G | Page 4 of 9 |
1 | NAMES OF REPORTING PERSONS | ||||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||||
NRM VII HOLDINGS I, LLC I.R.S. IDENTIFICATION NO.: 27-1471440 | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) | ||||
(a)☐ | |||||
(b)☒ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
VIRGINIA | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |||
46,785,712 | |||||
6 | SHARED VOTING POWER | ||||
0 | |||||
7 | SOLE DISPOSITIVE POWER | ||||
46,785,712 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
46,785,712 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
☐ | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
16.8% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO – limited liability company | |||||
CUSIP No. 03211P103 | 13G | Page 5 of 9 |
1 | NAMES OF REPORTING PERSONS | ||||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||||
INTREXON CORPORATION I.R.S. IDENTIFICATION NO.: 26-0084895 | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) | ||||
(a)☐ | |||||
(b)☒ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
VIRGINIA | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |||
0 | |||||
6 | SHARED VOTING POWER | ||||
24,000,000 | |||||
7 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
24,000,000 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
24,000,000 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
☐ | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
8.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
CO | |||||
CUSIP No. 03211P103 | 13G | Page 6 of 9 |
(a) | Name of Issuer AmpliPhi Biosciences Corporation |
(b) | Address of Issuer’s Principal Executive Offices 4870 Sadler Road, Suite 300, Glen Allen, Virginia 23060 |
(a) | Name of Person Filing |
(b) | Address of the Principal Office or, if none, residence |
(c) | Citizenship |
(d) | Title of Class of Securities |
(e) | CUSIP Number |
CUSIP No. 03211P103 | 13G | Page 7 of 9 |
Item 3. | If this statement is filed pursuant to §240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
Item 4. | Ownership. |
Reporting Person | Amount of Common Stock Beneficially Owned | Percent of Class | Sole Power to Vote or Direct the Vote | Shared Power to Vote or Direct the Vote | Sole Power to Dispose or to Direct the Disposition | Shared Power to Dispose or to Direct the Disposition | ||||||||||||||||||
Randal J. Kirk | 70,785,712(1) | 25.4% | 46,785,712 | 24,000,000 | 46,785,712 | 24,000,000 | ||||||||||||||||||
Third Security, LLC(2) | 46,785,712(1) | 16.8% | 46,785,712 | -- | 46,785,712 | -- | ||||||||||||||||||
NRM VII Holdings I, LLC | 46,785,712(1) | 16.8% | 46,785,712 | -- | 46,785,712 | -- | ||||||||||||||||||
Intrexon Corporation | 24,000,000 | 8.6% | -- | 24,000,000 | -- | 24,000,000 |
(1) | Assumes the full exercise of the warrants issued to and held by NRM VII Holdings. |
(2) | Mr. Kirk controls Third Security, which is the Manager of an affiliate that manages NRM VII Holdings. |
Item 5. | Ownership of Five Percent or Less of a Class. |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
CUSIP No. 03211P103 | 13G | Page 8 of 9 |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. |
Item 8. | Identification and Classification of Members of the Group. |
Item 9. | Notice of Dissolution of Group. |
Item 10. | Certification. |
CUSIP No. 03211P103 | 13G | Page 9 of 9 |
February 13, 2015 | ||
Date | ||
/s/ Randal J. Kirk | ||
Randal J. Kirk | ||
THIRD SECURITY, LLC | ||
By: | /s/ Randal J. Kirk | |
Randal J. Kirk | ||
Manager | ||
NRM VII HOLDINGS I, LLC | ||
By: | /s/ Randal J. Kirk | |
Randal J. Kirk | ||
Manager | ||
INTREXON CORPORATION | ||
By: | /s/ Randal J. Kirk | |
Randal J. Kirk | ||
Chief Executive Officer |
Joint Filing Agreement, dated as of February 13, 2015, by and among Mr. Kirk, Third Security, NRM VII Holdings and Intrexon |