-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RqGGSgOmq7VGnOIBx0UFY1ppmw54J9JeFgdkMb1vmaTpync23iH+Hw3TS6yZ2+Gh b6LlTLSaAqmMWXkHb+GmiA== 0001209191-10-051749.txt : 20101026 0001209191-10-051749.hdr.sgml : 20101026 20101026202201 ACCESSION NUMBER: 0001209191-10-051749 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20101007 FILED AS OF DATE: 20101026 DATE AS OF CHANGE: 20101026 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Becker Steven R CENTRAL INDEX KEY: 0001349005 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33509 FILM NUMBER: 101143338 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Drapkin Matthew A CENTRAL INDEX KEY: 0001458693 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33509 FILM NUMBER: 101143337 MAIL ADDRESS: STREET 1: 10801 NESBITT AVENUE SOUTH CITY: BLOOMINGTON STATE: MN ZIP: 55437 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: Becker Drapkin Management, L.P. CENTRAL INDEX KEY: 0001346543 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33509 FILM NUMBER: 101143342 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (214) 756-6037 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: SRB Management, L.P. DATE OF NAME CHANGE: 20051209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BC Advisors LLC CENTRAL INDEX KEY: 0001349003 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33509 FILM NUMBER: 101143339 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-756-6073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BECKER DRAPKIN PARTNERS, L.P. CENTRAL INDEX KEY: 0001451721 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33509 FILM NUMBER: 101143340 BUSINESS ADDRESS: STREET 1: C/O BECKER DRAPKIN MANAGEMENT, L.P. STREET 2: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (214) 756-6016 MAIL ADDRESS: STREET 1: C/O BECKER DRAPKIN MANAGEMENT, L.P. STREET 2: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: SRB GREENWAY OPPORTUNITY FUND LP DATE OF NAME CHANGE: 20081209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BECKER DRAPKIN PARTNERS (QP), L.P. CENTRAL INDEX KEY: 0001451722 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33509 FILM NUMBER: 101143341 BUSINESS ADDRESS: STREET 1: C/O BECKER DRAPKIN MANAGEMENT, L.P. STREET 2: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (214) 756-6016 MAIL ADDRESS: STREET 1: C/O BECKER DRAPKIN MANAGEMENT, L.P. STREET 2: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: SRB GREENWAY OPPORTUNITY FUND (QP) LP DATE OF NAME CHANGE: 20081209 4 1 c07305_4x3.xml MAIN DOCUMENT DESCRIPTION X0303 4 2010-10-07 0001124608 RESPONSE GENETICS INC RGDX 0001346543 Becker Drapkin Management, L.P. 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001451722 BECKER DRAPKIN PARTNERS (QP), L.P. 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001451721 BECKER DRAPKIN PARTNERS, L.P. 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001349003 BC Advisors LLC 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001349005 Becker Steven R 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001458693 Drapkin Matthew A 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 Common Stock 2010-10-07 4 S 0 46102 2.37 D 1351570 I See Footnotes Common Stock 2010-10-07 4 S 0 5698 2.37 D 167048 I See Footnotes Common Stock 2010-10-08 4 S 0 22250 2.37 D 1329320 I See Footnotes Common Stock 2010-10-08 4 S 0 2750 2.37 D 164298 I See Footnotes Common Stock 2010-10-13 4 S 0 44500 2.30 D 1284820 I See Footnotes Common Stock 2010-10-13 4 S 0 5500 2.30 D 158798 I See Footnotes Common Stock 2010-10-22 4 S 0 87285 2.30 D 1197535 I See Footnotes Common Stock 2010-10-22 4 S 0 12715 2.30 D 146083 I See Footnotes Common Stock 381679 D Common Stock 114504 D This statement is jointly filed by and on behalf of each of Becker Drapkin Management, L.P. ("BD Management"), Becker Drapkin Partners (QP), L.P., ("QP Fund"), Becker Drapkin Partners, L.P. ("LP Fund"), BC Advisors, LLC ("BC Advisors"), Steven R. Becker and Matthew A. Drapkin. QP Fund, LP Fund, Mr. Becker and Mr. Drapkin are the direct beneficial owners of the securities covered by this statement. BD Management is the general partner of each of QP Fund and LP Fund and may be deemed to beneficially own securities owned by QP Fund and LP Fund. BC Advisors is the general partner of BD Management and may be deemed to beneficially own securities owned by BD Management. Mr. Becker and Mr. Drapkin are the controlling persons of BC Advisors and may be deemed to beneficially own securities owned by BC Advisors. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer. Represents shares directly beneficially owned by QP Fund. Represents shares directly beneficially owned by LP Fund. Represents shares directly beneficially owned by Mr. Becker. Represents shares directly beneficially owned by Mr. Drapkin. Exhibit Index Exhibit 24.1 - Power of Attorney (furnished herewith) Exhibit 99.1 - Joint Filer Information (furnished herewith) Exhibit 99.2 - Joint Filing Agreement (furnished herewith) BECKER DRAPKIN MANAGEMENT, L.P., By: BC Advisors, LLC, Its: General Partner, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-10-26 BECKER DRAPKIN PARTNERS (QP), L.P., By: Becker Drapkin Management, L.P., Its: General Partner, By: BC Advisors, LLC, Its: General Partner, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-10-26 BECKER DRAPKIN PARTNERS, L.P., By: Becker Drapkin Management, L.P., Its: General Partner, By: BC Advisors, LLC, Its: General Partner, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-10-26 BC ADVISORS, LLC, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-10-26 STEVEN R. BECKER, /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-10-26 MATTHEW A. DRAPKIN, /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-10-26 EX-24 2 c07305_24x1.htm POWER OF ATTORNEY Power of Attorney
EXHIBIT 24.1
POWER OF ATTORNEY
Know by all these presents, that each of the undersigned do hereby constitute and appoint Ashley Sekimoto, as each of the undersigned’s true and lawful attorney-in-fact to:
  (1)  
prepare, execute for and on behalf of each of the undersigned, in each of the undersigned’s name, place and stead in any and all capacities related to securities held by each of the undersigned, any and all filings by each of the undersigned including BC Advisors, LLC (“BC Advisors”), Becker Drapkin Management, L.P. (“BD Management”), Becker Drapkin Partners (QP), L.P. (“Becker Drapkin QP”), Becker Drapkin Partners, L.P. (“Becker Drapkin LP” and together with BC Advisors, BD Management, Becker Drapkin QP and Becker Drapkin LP, the “Companies”) with the United States Securities and Exchange Commission (the “SEC”) (a) pursuant to Section 13 of the Securities Exchange Act of 1934 and the rules thereunder, as amended, and (b) pursuant to Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, as amended, and with respect to either of the foregoing clauses (a) and (b), any other forms or reports each of theundersigned or the Companies may be required to file in connection with each of the undersigned’s ownership, acquisition, or disposition of securities in Response Genetics, Inc.;
 
  (2)  
do and perform any and all acts for and on behalf of each of the undersigned which may be necessary or desirable to complete, execute and deliver any such filing as described in paragraph (1) above, or other form or report, and timely file such form or report with the SEC and any stock exchange or similar authority; and
 
  (3)  
take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, each of the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of each of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.
Each of the undersigned hereby grants to such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as each of the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. Each of the undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of each of the undersigned, is not assuming, nor are the Companies assuming, each of the undersigned’s responsibilities to comply with Section 13 or Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, as amended.
This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file any such filing as described in paragraph (1) above, unless earlier revoked by each of the undersigned in a signed writing delivered to the foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of October 26, 2010.
         
    BECKER DRAPKIN MANAGEMENT, L.P.
 
        
 
  By:   BC Advisors, LLC
 
  Its:   General Partner
 
        
 
  By:   /s/ Steven R. Becker
 
       
 
  Name:   Steven R. Becker
 
  Title:   Co-Managing Member
 
  Date:   October 26, 2010
 
        
    BECKER DRAPKIN PARTNERS (QP), L.P.
 
        
 
  By:   Becker Drapkin Management, L.P.
 
  Its:   General Partner
 
        
 
  By:   BC Advisors, LLC
 
  Its:   General Partner
 
        
 
  By:   /s/ Steven R. Becker
 
       
 
  Name:   Steven R. Becker
 
  Title:   Co-Managing Member
 
  Date:   October 26, 2010
 
        
    BECKER DRAPKIN PARTNERS, L.P.
 
        
 
  By:   Becker Drapkin Management, L.P.
 
  Its:   General Partner
 
        
 
  By:   BC Advisors, LLC
 
  Its:   General Partner
 
        
 
  By:   /s/ Steven R. Becker
 
       
 
  Name:   Steven R. Becker
 
  Title:   Co-Managing Member
 
  Date:   October 26, 2010
 
        
    BC ADVISORS, LLC
 
        
 
  By:   /s/ Steven R. Becker
 
       
 
  Name:   Steven R. Becker
 
  Title:   Co-Managing Member
 
  Date:   October 26, 2010
 
        
    STEVEN R. BECKER
 
        
    /s/ Steven R. Becker
     
 
        
    MATTHEW A. DRAPKIN
 
        
    /s/ Matthew A. Drapkin
     

 

EX-99.1 3 c07305_99x1.htm ADDITIONAL EXHIBITS EXHIBIT 99.1
EXHIBIT 99.1
JOINT FILER INFORMATION
Other Reporting Person(s)
1. BECKER DRAPKIN PARTNERS (QP), L.P.
         
Item   Information
Name:   BECKER DRAPKIN PARTNERS (QP), L.P.
 
        
Address:   300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
        
Designated Filer:   Becker Drapkin Management, L.P.
 
        
Date of Event Requiring   October 7, 2010
Statement (Month/Day/Year):
        
 
        
Issuer Name and Ticker or   Response Genetics, Inc. [RGDX]
Trading Symbol:
        
 
        
Relationship of Reporting   10% Owner
Person(s) to Issuer:
        
 
        
If Amendment, Date Original   Not Applicable
Filed (Month/Day/Year):
        
 
        
Individual or Joint/Group Filing:   Form filed by More than One Reporting Person
 
        
Signature:
  By:   Becker Drapkin Management, L.P.
 
  Its:   General Partner
 
        
 
  By:   BC Advisors, LLC
 
  Its:   General Partner
 
        
 
  By:   /s/ Ashley Sekimoto
 
       
 
  Name:   Ashley Sekimoto
 
  Title:   Attorney-in-Fact
 
  Date:   October 26, 2010

 

 

2. BECKER DRAPKIN PARTNERS, L.P.
         
Item   Information
Name:   BECKER DRAPKIN PARTNERS, L.P.
 
        
Address:   300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
        
Designated Filer:   Becker Drapkin Management, L.P.
 
        
Date of Event Requiring   October 7, 2010
Statement (Month/Day/Year):
        
 
        
Issuer Name and Ticker or   Response Genetics, Inc. [RGDX]
Trading Symbol:
        
 
        
Relationship of Reporting   10% Owner
Person(s) to Issuer:
        
 
        
If Amendment, Date Original   Not Applicable
Filed (Month/Day/Year):
        
 
        
Individual or Joint/Group Filing:   Form filed by More than One Reporting Person
 
        
Signature:
  By:   Becker Drapkin Management, L.P.
 
  Its:   General Partner
 
        
 
  By:   BC Advisors, LLC
 
  Its:   General Partner
 
        
 
  By:   /s/ Ashley Sekimoto
 
       
 
  Name:   Ashley Sekimoto
 
  Title:   Attorney-in-Fact
 
  Date:   October 26, 2010

 

 

3. BC ADVISORS, LLC
         
Item   Information
Name:   BC ADVISORS, LLC
 
        
Address:   300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
        
Designated Filer:   Becker Drapkin Management, L.P.
 
        
Date of Event Requiring   October 7, 2010
Statement (Month/Day/Year):
        
 
        
Issuer Name and Ticker or   Response Genetics, Inc. [RGDX]
Trading Symbol:
        
 
        
Relationship of Reporting   10% Owner
Person(s) to Issuer:
        
 
        
If Amendment, Date Original   Not Applicable
Filed (Month/Day/Year):
        
 
        
Individual or Joint/Group Filing:   Form filed by More than One Reporting Person
 
        
Signature:
  By:   /s/ Ashley Sekimoto
 
       
 
      Name: Ashley Sekimoto
 
  Title:   Attorney-in-Fact
 
  Date:   October 26, 2010

 

 

4. STEVEN R. BECKER
         
Item   Information
Name:   STEVEN R. BECKER
 
        
Address:   300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
        
Designated Filer:   Becker Drapkin Management, L.P.
 
        
Date of Event Requiring   October 7, 2010
Statement (Month/Day/Year):
        
 
        
Issuer Name and Ticker or   Response Genetics, Inc. [RGDX]
Trading Symbol:
        
 
        
Relationship of Reporting   10% Owner
Person(s) to Issuer:
        
 
        
If Amendment, Date Original   Not Applicable
Filed (Month/Day/Year):
        
 
        
Individual or Joint/Group Filing:   Form filed by More than One Reporting Person
 
        
Signature:
  By:   /s/ Ashley Sekimoto
 
       
 
      Name: Ashley Sekimoto
 
      Title: Attorney-in-Fact
 
      Date: October 26, 2010

 

 

4. MATTHEW A. DRAPKIN
         
Item   Information
Name:   MATTHEW A. DRAPKIN
 
        
Address:   300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
        
Designated Filer:   Becker Drapkin Management, L.P.
 
        
Date of Event Requiring   October 7, 2010
Statement (Month/Day/Year):
        
 
        
Issuer Name and Ticker or   Response Genetics, Inc. [RGDX]
Trading Symbol:
        
 
        
Relationship of Reporting   10% Owner
Person(s) to Issuer:
        
 
        
If Amendment, Date Original   Not Applicable
Filed (Month/Day/Year):
        
 
        
Individual or Joint/Group Filing:   Form filed by More than One Reporting Person
 
        
Signature:
  By:   /s/ Ashley Sekimoto
 
       
 
  Name:   Ashley Sekimoto
 
  Title:   Attorney-in-Fact
 
  Date:   October 26, 2010

 

 

EX-99.2 4 c07305_99x2.htm ADDITIONAL EXHIBITS EXHIBIT 99.2

EXHIBIT 99.2

JOINT FILING AGREEMENT

Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with respect to such revoking party.

IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed and effective as of the date first written above.

Dated: October 26, 2010

BECKER DRAPKIN MANAGEMENT, L.P.

By:           BC Advisors, LLC
Its:           General Partner

By:           /s/ Ashley Sekimoto        
Name:       Ashley Sekimoto
Title:         Attorney-in-Fact
Date:         October 26, 2010

BECKER DRAPKIN PARTNERS (QP), L.P.

By:           Becker Drapkin Management, L.P.
Its:           General Partner

By:           BC Advisors, LLC
Its:           General Partner

By:             /s/ Ashley Sekimoto         
Name:       Ashley Sekimoto
Title:         Attorney-in-Fact
Date:         October 26, 2010

BECKER DRAPKIN PARTNERS, L.P.

By:            Becker Drapkin Management, L.P.
Its:            General Partner

By:            BC Advisors, LLC
Its:            General Partner

By:           /s/ Ashley Sekimoto          
Name:      Ashley Sekimoto
Title:        Attorney-in-Fact
Date:        October 26, 2010

BC ADVISORS, LLC

By:            /s/ Ashley Sekimoto          
Name:       Ashley Sekimoto
Title:         Attorney-in-Fact
Date:         October 26, 2010

STEVEN R. BECKER

By:           /s/ Ashley Sekimoto          
Name:      Ashley Sekimoto
Title:        Attorney-in-Fact
Date:        October 26, 2010

MATTHEW A. DRAPKIN

By:           /s/ Ashley Sekimoto          
Name:      Ashley Sekimoto
Title:        Attorney-in-Fact
Date:        October 26, 2010

 

 

-----END PRIVACY-ENHANCED MESSAGE-----