0001140361-15-042073.txt : 20151117
0001140361-15-042073.hdr.sgml : 20151117
20151117174950
ACCESSION NUMBER: 0001140361-15-042073
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151113
FILED AS OF DATE: 20151117
DATE AS OF CHANGE: 20151117
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: RESPONSE GENETICS INC
CENTRAL INDEX KEY: 0001124608
STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835]
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1640 MARENGO ST.,
STREET 2: 6TH FLOOR
CITY: LOS ANGELES,
STATE: CA
ZIP: 90033
BUSINESS PHONE: (323) 224-3900
MAIL ADDRESS:
STREET 1: 1640 MARENGO ST.,
STREET 2: 6TH FLOOR
CITY: LOS ANGELES,
STATE: CA
ZIP: 90033
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MIGNONE ROBERTO
CENTRAL INDEX KEY: 0001258394
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33509
FILM NUMBER: 151239131
MAIL ADDRESS:
STREET 1: C/O BRIDGER MANAGEMENT, LLC.
STREET 2: 90 PARK AVENUE, 40TH FL.
CITY: NEW YORK
STATE: NY
ZIP: 10016
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BRIDGER MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001166309
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33509
FILM NUMBER: 151239132
BUSINESS ADDRESS:
STREET 1: 90 PARK AVENUE,
STREET 2: 40TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 212-918-0820
MAIL ADDRESS:
STREET 1: 90 PARK AVENUE,
STREET 2: 40TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
FORMER NAME:
FORMER CONFORMED NAME: BRIDGER MANAGEMENT LLC
DATE OF NAME CHANGE: 20020130
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Swiftcurrent Offshore Master, Ltd.
CENTRAL INDEX KEY: 0001639358
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33509
FILM NUMBER: 151239133
BUSINESS ADDRESS:
STREET 1: 90 PARK AVENUE
STREET 2: 40TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 212-984-2125
MAIL ADDRESS:
STREET 1: 90 PARK AVENUE
STREET 2: 40TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SWIFTCURRENT OFFSHORE, LTD.
CENTRAL INDEX KEY: 0001124973
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33509
FILM NUMBER: 151239134
BUSINESS ADDRESS:
STREET 1: 90 PARK AVENUE, 40TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 212 984 2125
MAIL ADDRESS:
STREET 1: 90 PARK AVENUE, 40TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
FORMER NAME:
FORMER CONFORMED NAME: SWIFTCURRENT OFFSHORE LTD.
DATE OF NAME CHANGE: 20090318
FORMER NAME:
FORMER CONFORMED NAME: SWIFTCURRENT OFFSHORE LTD
DATE OF NAME CHANGE: 20000927
4
1
doc1.xml
FORM 4
X0306
4
2015-11-13
0
0001124608
RESPONSE GENETICS INC
RGDX
0001166309
BRIDGER MANAGEMENT, LLC
90 PARK AVENUE, 40TH FLOOR
NEW YORK
NY
10016
0
0
1
0
0001258394
MIGNONE ROBERTO
90 PARK AVENUE, 40TH FLOOR
NEW YORK
NY
10016
0
0
1
0
0001124973
SWIFTCURRENT OFFSHORE, LTD.
90 PARK AVENUE, 40TH FLOOR
NEW YORK
NY
10016
0
0
1
0
0001639358
Swiftcurrent Offshore Master, Ltd.
90 PARK AVENUE, 40TH FLOOR
NEW YORK
NY
10016
0
0
1
0
Common Stock, $0.01 par value per share
2015-11-13
4
D
0
547100
0.00
D
2056900
I
See footnotes
Common Stock, $0.01 par value per share
2015-11-13
4
D
0
47900
0.00
D
3258100
I
See footnotes
Common Stock, $0.01 par value per share
2015-11-16
4
D
0
116095
0.00
D
1940805
I
See footnotes
Common Stock, $0.01 par value per share
2015-11-16
4
D
0
183905
0.00
D
3074195
I
See footnotes
Common Stock, $0.01 par value per share
2015-11-17
4
D
0
147060
0.00
D
1793745
I
See footnotes
Common Stock, $0.01 par value per share
2015-11-17
4
D
0
232940
0.00
D
2841255
I
See footnotes
Warrants (right to buy)
0.37
2015-04-03
2021-04-03
Common Stock
744595
744595
I
See footnotes
Warrants (right to buy)
0.37
2015-04-03
2021-04-03
Common Stock
606757
606757
I
See footnotes
The price reported in Column 4 is a weighted average price, rounded to the nearest whole cent. The shares reported in Column 4 were sold in multiple transactions at prices ranging from $0.0015 to $0.0025, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
These securities are directly owned by Swiftcurrent Partners L.P. Bridger Management, LLC is the investment adviser to Swiftcurrent Partners L.P. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management, LLC and Mr. Mignone may be deemed to share beneficial ownership of the securities owned by Swiftcurrent Partners L.P.
Each reporting person and entity named herein disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein and this report shall not be deemed an admission that the reporting person or any entity named herein is the beneficial owner of the securities for purposes of Section 16, or for any other purpose.
The price reported in Column 4 is a weighted average price, rounded to the nearest whole cent. The shares reported in Column 4 were sold in multiple transactions at prices ranging from $0.0011 to $0.0015, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.
These securities are directly owned by Swiftcurrent Offshore Master, Ltd. Swiftcurrent Offshore Ltd. invests substantially all of its assets in Swiftcurrent Offshore Master, Ltd. and may be deemed to share beneficial ownership of the securities owned by Swiftcurrent Offshore Master, Ltd. Bridger Management, LLC is the investment adviser to Swiftcurrent Offshore Master, Ltd. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management, LLC and Mr. Mignone may be deemed to share beneficial ownership of the securities owned by Swiftcurrent Offshore Master, Ltd.
As of the November 16, 2015 disposition of common stock by Swiftcurrent Offshore Master, Ltd. reported in this Form 4, Swiftcurrent Offshore Master, Ltd. and Swiftcurrent Offshore Ltd. ceased to be Section 16 filers. The box on page one of this Form 4 is not checked because Bridger Management, LLC and Robert Mignone may remain subject to Section 16 as of the date of this filing.
The price reported in Column 4 is a weighted average price, rounded to the nearest whole cent. The shares reported in Column 4 were sold in multiple transactions at prices ranging from $0.0008 to $0.0009, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4.
These warrants are directly owned by Swiftcurrent Offshore Master, Ltd. and included on this Form 4 for purposes of completeness. The warrants were acquired in connection with the Second Amended Credit Agreement dated as of April 3, 2015 (the "Second Amended Credit Agreement") among the Issuer, as the borrower, and the parties thereto, including Swiftcurrent Offshore Master Ltd. and Swiftcurrent Partners L.P., as lenders. Pursuant to the Second Amended Credit Agreement, Swiftcurrent Offshore Master Ltd. provided the Issuer with a Term Loan Commitment of $551,000.
Swiftcurrent Offshore Ltd. invests substantially all of its assets in Swiftcurrent Offshore Master, Ltd. and may be deemed to share beneficial ownership of the warrants owned by Swiftcurrent Offshore Master, Ltd. Bridger Management, LLC is the investment adviser to Swiftcurrent Offshore Master, Ltd. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management, LLC and Mr. Mignone may be deemed to share beneficial ownership of the warrants owned by Swiftcurrent Offshore Master, Ltd.
These warrants are directly owned by Swiftcurrent Partners L.P. and included on this Form 4 for purposes of completeness. The warrants were acquired in connection with the Second Amended Credit Agreement, pursuant to which Swiftcurrent Partners L.P. provided the Issuer with a Term Loan Commitment of $449,000. Bridger Management, LLC is the investment adviser to Swiftcurrent Partners L.P. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management, LLC and Mr. Mignone may be deemed to share beneficial ownership of the warrants owned by Swiftcurrent Partners L.P.
/s/ Roberto Mignone, Managing Member of Bridger Management, LLC
2015-11-17
/s/ Roberto Mignone
2015-11-17
/s/ Roberto Mignone, Managing Member of Investment Adviser for Swiftcurrent Offshore, Ltd
2015-11-17
/s/ Roberto Mignone, Managing Member of Investment Adviser for Swiftcurrent Offshore Master, Ltd
2015-11-17