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