FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/12/2013 |
3. Issuer Name and Ticker or Trading Symbol
Mirati Therapeutics, Inc. [ MRTX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1,590,733(1) | I | By Boxer Capital, LLC(2) |
Common Stock | 389,341(1) | I | By MVA Investors, LLC(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | (3) | 06/27/2017 | Common Stock | 2,000 | $11.5(4) | D | |
Stock Option (Right to Buy) | (5) | 07/16/2017 | Common Stock | 6,953 | $12.5(4) | D | |
Warrant (Right to Buy) | 11/21/2012(6) | 11/21/2017 | Common Stock | 189,780(1) | $8.7(4) | I | By Boxer Capital, LLC(2) |
Warrant (Right to Buy) | 04/04/2011(6) | 04/04/2016 | Common Stock | 272,882(1) | $7.46(4) | I | By Boxer Capital, LLC(2) |
Warrant (Right to Buy) | 11/21/2012(6) | 11/21/2017 | Common Stock | 78,186(1) | $8.7(4) | I | By MVA Investors, LLC(2) |
Warrant (Right to Buy) | 04/04/2011(6) | 04/04/2016 | Common Stock | 40,874(1) | $7.46(4) | I | By MVA Investors, LLC(2) |
Explanation of Responses: |
1. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
2. The Reporting Person is the Senior Vice President of Tavistock Life Sciences ("Tavistock") and may be deemed to control Tavistock. Tavistock is the investment manager of Boxer Capital, LLC and MVA Investors, LLC and may be deemed to beneficially own securities owned by Boxer Capital, LLC and MVA Investors, LLC. |
3. Twenty percent (20%) of the shares subject to the stock option vested and became exercisable on the grant date of the option (June 28, 2012), and an additional 20% shall vest and become exercisable each year on the anniversary of the grant date. |
4. Represented in Canadian Dollars. |
5. Twenty percent (20%) of the shares subject to the stock option vested and became exercisable on the grant date of the option (July 17, 2012), and an additional 20% shall vest and become exercisable each year on the anniversary of the grant date. |
6. The warrant holder may not exercise warrants to the extent that any such exercise would increase Tavistock's percentage ownership in excess of 19.99% of the Issuer's outstanding common stock, except in limited circumstances. |
Remarks: |
/s/ Rodney W. Lappe | 07/12/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |