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