0001140361-11-017510.txt : 20110317 0001140361-11-017510.hdr.sgml : 20110317 20110317175454 ACCESSION NUMBER: 0001140361-11-017510 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110315 FILED AS OF DATE: 20110317 DATE AS OF CHANGE: 20110317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lappe Mark CENTRAL INDEX KEY: 0001366074 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 11696081 MAIL ADDRESS: STREET 1: 11622 EL CAMINO REAL STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AEOLUS PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001261734 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 561953785 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 26361 CROWN VALLEY PARKWAY, SUITE 150 CITY: MISSION VIEJO STATE: CA ZIP: 92691 BUSINESS PHONE: 9494819825 MAIL ADDRESS: STREET 1: 26361 CROWN VALLEY PARKWAY, SUITE 150 CITY: MISSION VIEJO STATE: CA ZIP: 92691 FORMER COMPANY: FORMER CONFORMED NAME: INCARA PHARMACEUTICALS CORP DATE OF NAME CHANGE: 20031205 FORMER COMPANY: FORMER CONFORMED NAME: INCARA INC DATE OF NAME CHANGE: 20030828 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Efficacy Capital, Ltd. CENTRAL INDEX KEY: 0001350855 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 11696082 BUSINESS ADDRESS: STREET 1: 11622 EL CAMINO REAL, SUITE 100 CITY: SAN DEIGO STATE: CA ZIP: 92130 BUSINESS PHONE: 858-759-1499 MAIL ADDRESS: STREET 1: 11622 EL CAMINO REAL, SUITE 100 CITY: SAN DEIGO STATE: CA ZIP: 92130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Efficacy Biotech Master Fund Ltd. CENTRAL INDEX KEY: 0001366070 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 11696083 BUSINESS ADDRESS: STREET 1: 11622 EL CAMINO REAL STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 759-1499 MAIL ADDRESS: STREET 1: 11622 EL CAMINO REAL STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Efficacy Biotech Fund LTD CENTRAL INDEX KEY: 0001366071 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 11696085 BUSINESS ADDRESS: STREET 1: 11622 EL CAMINO REAL STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 759-1499 MAIL ADDRESS: STREET 1: 11622 EL CAMINO REAL STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Efficacy Biotech Fund L.P. CENTRAL INDEX KEY: 0001366073 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 11696084 BUSINESS ADDRESS: STREET 1: 11622 EL CAMINO REAL STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 759-1499 MAIL ADDRESS: STREET 1: 11622 EL CAMINO REAL STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 4 1 doc1.xml FORM 4 X0303 4 2011-03-15 0 0001261734 AEOLUS PHARMACEUTICALS, INC. AOLS 0001350855 Efficacy Capital, Ltd. 11622 EL CAMINO REAL, SUITE 100 SAN DEIGO CA 92130 0 0 1 0 0001366074 Lappe Mark 11622 EL CAMINO REAL SUITE 100 SAN DIEGO CA 92130 0 0 1 0 0001366071 Efficacy Biotech Fund LTD 11622 EL CAMINO REAL SUITE 100 SAN DIEGO CA 92130 0 0 1 0 0001366073 Efficacy Biotech Fund L.P. 11622 EL CAMINO REAL SUITE 100 SAN DIEGO CA 92130 0 0 1 0 0001366070 Efficacy Biotech Master Fund Ltd. 11622 EL CAMINO REAL SUITE 100 SAN DIEGO CA 92130 0 0 1 0 Common Stock 2011-03-15 4 S 0 193234 .76 D 8148812 I See Footnote Common Stock 2011-03-16 4 S 0 3799380 .61 D 4349432 I See Footnote Common Stock Purchase Warrants (Right to Buy) 0.75 2011-03-16 4 S 0 2541000 .61 D 2006-06-05 2011-06-05 Common Stock 2541000 3235281 I See Footnote These shares are owned directly by Efficacy Biotech Master Fund Ltd. The Reporting Person acts as an investment adviser with investment and voting discretion over portfolio investments. The Reporting Person is an indirect beneficial owner of the reported securities. The securities were sold in a block transaction in which shares of common stock and certain warrants to purchase common stock were sold for a price of $.61 per share of common stock. The warrant is exercisable at any time provided that such date is no later than the expiration date of the warrant. /s/ Mark Lappe 2011-03-17 Efficacy Biotech Fund Ltd., By Efficacy Capital Ltd., Investment Manager, By /s/ Mark Lappe, Managing Partner 2011-03-17 Efficacy Capital Ltd., By /s/ Mark Lappe, Managing Partner 2011-03-17 Efficacy Biotech Fund L.P., By Efficacy Capital Ltd., Investment Manager, By /s/ Mark Lappe, Managing Partner 2011-03-17 Efficacy Biotech Master Fund Ltd., By Efficacy Capital Ltd., Investment Manager, By /s/ Mark Lappe, Managing Partner 2011-03-17