0001140361-17-024726.txt : 20170612 0001140361-17-024726.hdr.sgml : 20170612 20170612172452 ACCESSION NUMBER: 0001140361-17-024726 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170608 FILED AS OF DATE: 20170612 DATE AS OF CHANGE: 20170612 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRANSGENOMIC INC CENTRAL INDEX KEY: 0001043961 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 911789357 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12325 EMMET ST CITY: OMAHA STATE: NE ZIP: 68164 BUSINESS PHONE: 4027385480 MAIL ADDRESS: STREET 1: 12325 EMMET STREET CITY: OMAHA STATE: NE ZIP: 68164 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIRK RANDAL J CENTRAL INDEX KEY: 0001091823 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36439 FILM NUMBER: 17907414 MAIL ADDRESS: STREET 1: 1881 GROVE AVENUE CITY: RADFORD STATE: VA ZIP: 24141 4 1 doc1.xml FORM 4 X0306 4 2017-06-08 0 0001043961 TRANSGENOMIC INC TBIO 0001091823 KIRK RANDAL J C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD VA 24141 0 0 1 0 Common Stock 2017-06-08 4 S 0 790000 1 D 2230267 I by Senior Staff 2008 Common Stock 2017-06-08 4 S 0 682000 1 D 1443654 I by Staff 2010 Common Stock 2017-06-08 4 S 0 395000 1 D 1115135 I by Incentive 2010 Common Stock 2017-06-08 4 S 0 108000 1 D 786613 I by Staff 2014 On April 7, 2017, Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010") and Third Security Staff 2014 LLC ("Staff 2014" and together with Senior Staff 2008, Staff 2010 and Incentive 2010, the "Investors") entered into a Call Option Agreement with BV Advisory Partners, LLC ("BVAP") (the "Agreement"). On June 8, 2017, BVAP exercised its option by payment of a $1.00 exercise price upon agreement by the Investors and BVAP that the conditions related to the transfer of an initial tranche of an aggregate of 1,975,000 shares of the issuer pursuant to the Agreement were satisfied. Randal J. Kirk controls Third Security, LLC, which is the manager of each of Senior Staff 2008, Staff 2010, Incentive 2010 and Staff 2014. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. /s/ Randal J. Kirk 2017-06-12