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) 07/17/2007 |
3. Issuer Name and Ticker or Trading Symbol
SEQUENOM INC [ SQNM ] |
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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 | 5,945,454 | I | See Footnote(1) |
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 | ||||
Warrants | (2) | 06/01/2013 | Common Stock | 2,727,272 | $2.1 | I | By LB I Group Inc. |
Explanation of Responses: |
1. By indirect wholly-owned subsidiaries of the Reporting Persons: 2,400,000 shares held by Lehman Brothers Inc. and 3,545,454 shares held by LB I Group Inc. |
2. The warrants by their terms are immediately exercisable; however, they are subject to a contractual issuance limitation prohibiting LB I Group Inc. from exercising the warrants to the extent that such exercise would result in beneficial ownership by LB I Group Inc. and its affiliates of more than 9.99% of the common shares then issued and outstanding. As of the date hereof, therefore, because of the common stock ownership reported herein, none of the warrants may be exercised. |
Remarks: |
Title of Securities: Common Stock and Warrants Issuer & Ticker Symbol: Sequenom, Inc. (SQNM) Designated Filer: Lehman Brothers Holdings Inc., a Delaware corporation Other Joint Filers: Lehman Brothers Inc., a Delaware corporation, a direct wholly-owned subsidiary of the Reporting Person and direct 100% parent of LB I Group Inc. 745 Seventh Avenue New York, NY 10019 LB I Group Inc., a Delaware corporation, a direct wholly-owned subsidiary of Lehman Brothers Inc. 399 Park Avenue New York, NY 10019 Date of event requiring statement: July 17, 2007 Signature on behalf of other joint filers: /s/ Barrett S. DiPaolo, Authorized Signatory |
/s/ Barrett S. DiPaolo | 07/20/2007 | |
** 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. |