0001140361-18-004824.txt : 20180202 0001140361-18-004824.hdr.sgml : 20180202 20180202172953 ACCESSION NUMBER: 0001140361-18-004824 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180201 FILED AS OF DATE: 20180202 DATE AS OF CHANGE: 20180202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 21 APRIL FUND, LTD. CENTRAL INDEX KEY: 0001459708 STATE OF INCORPORATION: E9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29440 FILM NUMBER: 18572013 BUSINESS ADDRESS: STREET 1: Citco Fund Services (Cayman Islands) Ltd STREET 2: Regatta Office Park West Bay Road CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1205 BUSINESS PHONE: 345-949-3977 MAIL ADDRESS: STREET 1: Citco Fund Services (Cayman Islands) Ltd STREET 2: Regatta Office Park West Bay Road CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1205 FORMER NAME: FORMER CONFORMED NAME: 21 APRIL FUND LTD DATE OF NAME CHANGE: 20090325 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: First Eagle Holdings, Inc. CENTRAL INDEX KEY: 0001637141 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29440 FILM NUMBER: 18572012 BUSINESS ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 212-698-3300 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 FORMER NAME: FORMER CONFORMED NAME: Arnhold & S. Bleichroeder Holdings, Inc. DATE OF NAME CHANGE: 20150319 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: First Eagle Investment Management, LLC CENTRAL INDEX KEY: 0001325447 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29440 FILM NUMBER: 18572014 BUSINESS ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 212-698-3300 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 FORMER NAME: FORMER CONFORMED NAME: Arnhold & S. Bleichroeder Advisers, LLC DATE OF NAME CHANGE: 20050429 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Identiv, Inc. CENTRAL INDEX KEY: 0001036044 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 770444317 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2201 WALNUT AVENUE STREET 2: SUITE 100 CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 949-250-8888 MAIL ADDRESS: STREET 1: 2201 WALNUT AVENUE STREET 2: SUITE 100 CITY: FREMONT STATE: CA ZIP: 94538 FORMER COMPANY: FORMER CONFORMED NAME: IDENTIVE GROUP, INC. DATE OF NAME CHANGE: 20100616 FORMER COMPANY: FORMER CONFORMED NAME: SCM MICROSYSTEMS INC DATE OF NAME CHANGE: 19970319 4 1 doc1.xml FORM 4 X0306 4 2018-02-01 0 0001036044 Identiv, Inc. INVE 0001325447 First Eagle Investment Management, LLC 1345 AVENUE OF THE AMERICAS 48TH FLOOR NEW YORK NY 10105 0 0 1 0 0001459708 21 APRIL FUND, LTD. CITCO FUND SERVICES (CAYMAN ISLANDS) LTD REGATTA OFFICE PARK WEST BAY ROAD GRAND CAYMAN E9 KY1-1205 CAYMAN ISLANDS 0 0 1 0 0001637141 First Eagle Holdings, Inc. 1345 AVENUE OF THE AMERICAS NEW YORK NY 10105 0 0 1 0 Common Stock 2018-02-01 4 J 0 105500 D 1853004 I See Footnote Series B Non-Voting Convertible Preferred Stock 4.00 2023-12-21 Common Stock 2388461 2388461 D Series B Non-Voting Convertible Preferred Stock 4.00 2023-12-21 Common Stock 611539 611539 I See footnote This Form 4 is filed by 21 April Fund, Ltd. ("April Ltd."), First Eagle Investment Management, LLC ("FEIM") and First Eagle Holdings, Inc. ("FEHI" and, collectively with April Ltd. and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4. As of February 1, 2018, certain separately managed accounts terminated their relationship with, and are no longer advised by, FEIM. The positions held in such accounts are therefore no longer included herein. The shares of Common Stock reported herein are indirectly beneficially owned by FEHI and FEIM, a Delaware limited liability company and an investment adviser registered under the Investment Advisers Act of 1940. FEIM is (i) the registered investment adviser to April Ltd., and (ii) a subsidiary of FEHI. FEHI disclaims Section 16 beneficial ownership of the shares except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that FEHI is the Section 16 beneficial owner of any such securities. Each share of Series B Non-Voting Convertible Preferred Stock, $0.001 par value per share ("Series B Preferred Stock"), of Identiv, Inc. (the "Company") is convertible into such number of shares of common stock, par value $0.001 ("Common Stock"), of the Company as is equal to the accreted value of such share of Series B Preferred Stock divided by a conversion price equal to $4.00 as of December 21, 2017, subject to adjustment pursuant to the terms of the certificate of designation setting forth the designations, preferences, limitations and relative rights of the Series B Preferred Stock. Each share of Series B Preferred Stock is convertible at the option of the holder thereof into the Common Stock: (i) following the sixth (6th) anniversary of the initial closing of the sale of the Series B Preferred Stock; or (ii) if earlier, during the thirty (30) day period following the last trading day of any period of three (3) or more consecutive trading days that the closing market price of th These shares of Series B Preferred Stock are indirectly owned by FEIM, as registered investment adviser to accounts other than April Ltd., and FEHI. FEIM and FEHI disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that FEIM and FEHI are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. FIRST EAGLE HOLDINGS, INC., By: /s/ Michael M. Kellen, Director 2018-02-02 FIRST EAGLE INVESTMENT MANAGEMENT, LLC, Investment Adviser of 21 April Ltd., By: /s/ Michael M. Kellen, Director 2018-02-02 FIRST EAGLE INVESTMENT MANAGEMENT, LLC, By: /s/ Michael M. Kellen, Director 2018-02-02