0001140361-18-008684.txt : 20180215
0001140361-18-008684.hdr.sgml : 20180215
20180215162655
ACCESSION NUMBER: 0001140361-18-008684
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180213
FILED AS OF DATE: 20180215
DATE AS OF CHANGE: 20180215
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Care Capital III LLC
CENTRAL INDEX KEY: 0001599356
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35285
FILM NUMBER: 18618045
BUSINESS ADDRESS:
STREET 1: 47 HULFISH STREET
STREET 2: SUITE 310
CITY: PRINCETON
STATE: NJ
ZIP: 08542
BUSINESS PHONE: 609-683-8300
MAIL ADDRESS:
STREET 1: 47 HULFISH STREET
STREET 2: SUITE 310
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Care Capital Investments III L.P.
CENTRAL INDEX KEY: 0001599355
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35285
FILM NUMBER: 18618044
BUSINESS ADDRESS:
STREET 1: 47 HULFISH STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
BUSINESS PHONE: 609-683-8300
MAIL ADDRESS:
STREET 1: 47 HULFISH STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Care Capital Offshore Investments III LP
CENTRAL INDEX KEY: 0001599354
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35285
FILM NUMBER: 18618043
BUSINESS ADDRESS:
STREET 1: 47 HULFISH STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
BUSINESS PHONE: 609-683-8300
MAIL ADDRESS:
STREET 1: 47 HULFISH STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Vaxart, Inc.
CENTRAL INDEX KEY: 0000072444
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 591212264
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 395 OYSTER POINT BLVD., SUITE 405
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: (650) 550-3500
MAIL ADDRESS:
STREET 1: 395 OYSTER POINT BLVD., SUITE 405
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
FORMER COMPANY:
FORMER CONFORMED NAME: Aviragen Therapeutics, Inc.
DATE OF NAME CHANGE: 20160413
FORMER COMPANY:
FORMER CONFORMED NAME: Biota Pharmaceuticals, Inc.
DATE OF NAME CHANGE: 20121113
FORMER COMPANY:
FORMER CONFORMED NAME: NABI BIOPHARMACEUTICALS
DATE OF NAME CHANGE: 20100719
4
1
doc1.xml
FORM 4
X0306
4
2018-02-13
0
0000072444
Vaxart, Inc.
AVIR
0001599356
Care Capital III LLC
47 HULFISH STREET
SUITE 310
PRINCETON
NJ
08542
0
0
1
0
0001599355
Care Capital Investments III L.P.
47 HULFISH STREET
SUITE 310
PRINCETON
NJ
08542
0
0
1
0
0001599354
Care Capital Offshore Investments III LP
47 HULFISH STREET
SUITE 310
PRINCETON
NJ
08542
0
0
1
0
Common Stock
2018-02-13
4
A
0
30793670
A
30793670
I
See Footnote
Consists of 30,793,670 aggregate shares of Aviragen Therapeutics, Inc. ("Aviragen") common stock received by Care Capital Investments III, LP ("Investments III") and Care Capital Offshore Investments III, LP ("Offshore III") upon conversion of shares of Vaxart, Inc. ("Vaxart") in connection with the merger of Vaxart into Agora Merger Sub, Inc., a wholly owned subsidiary of Aviragen (the "Merger"). In connection with the closing of the Merger, each share of Vaxart common stock was converted into 0.2211 shares of Aviragen common stock. On the closing date of the Merger, the closing price of Aviragen's common stock was $0.82 per share. Following the Merger, Aviragen effected a reverse stock split at a ratio of one new share for every eleven shares of Aviragen common stock outstanding. The effects of such reverse stock split is not reflected here.
Consists of (i) 30,287,856 shares held by Investments III and (ii) 505,814 shares held by Offshore III. Care Capital III LLC is the general partner of Investments III LP and Offshore III (collectively, "Care Capital") and as a result, Care Capital III LLC has the ultimate power to vote or direct the vote and to dispose or direct the disposition of such shares. The Richard Markham, Jan Leschly, Jerry N. Karabelas and David R. Ramsay are the four managing members at Care Capital III LLC, and in their capacity as such, may be deemed to exercise shared voting and investment power over the shares held by Care Capital, each of whom disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Care Capital III LLC /s/ David R. Ramsay
2018-02-15
Care Capital Investments III L.P., By: Care Capital III LLC, Its General Partner /s/ David R. Ramsay
2018-02-15
Care Capital Offshore Investments III LP, By: Care Capital III LLC, Its General Partner /s/ David R. Ramsay
2018-02-15