0001493152-18-010074.txt : 20180716 0001493152-18-010074.hdr.sgml : 20180716 20180716200015 ACCESSION NUMBER: 0001493152-18-010074 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180712 FILED AS OF DATE: 20180716 DATE AS OF CHANGE: 20180716 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Moscato Robert Jr. CENTRAL INDEX KEY: 0001723420 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-13789 FILM NUMBER: 18955347 MAIL ADDRESS: STREET 1: 400 PRATT STREET STREET 2: SUITE 606 CITY: BALTIMORE STATE: MD ZIP: 21202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Marina Biotech, Inc. CENTRAL INDEX KEY: 0000737207 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 112658569 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 17870 CASTLETON STREET STREET 2: SUITE 250 CITY: CITY OF INDUSTRY STATE: CA ZIP: 91748 BUSINESS PHONE: 4259083600 MAIL ADDRESS: STREET 1: 17870 CASTLETON STREET STREET 2: SUITE 250 CITY: CITY OF INDUSTRY STATE: CA ZIP: 91748 FORMER COMPANY: FORMER CONFORMED NAME: MDRNA, Inc. DATE OF NAME CHANGE: 20080610 FORMER COMPANY: FORMER CONFORMED NAME: NASTECH PHARMACEUTICAL CO INC DATE OF NAME CHANGE: 19920703 4 1 ownership.xml X0306 4 2018-07-12 0 0000737207 Marina Biotech, Inc. MRNA 0001723420 Moscato Robert Jr. C/O MARINA BIOTECH, INC. 17870 CASTLETON STREET, SUITE 250 CITY OF INDUSTRY CA 91748 1 1 0 0 Chief Executive Officer Series F Convertible Preferred Stock 0.50 2018-07-12 4 P 0 40 5000 A 2018-07-12 common stock 400000 40 I See footnote Warrants to Purchase Common Stock 0.55 2018-07-12 4 P 0 300000 0.00 A 2018-07-12 common stock 300000 300000 I See footnote Each outstanding share of Series F Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the issuer's private placement of shares of its Series F Preferred Stock and warrants to purchase shares of its common stock (the "Offering") that the closing price of the Issuer's common stock on each of the trading days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series F Preferred Stock elect to convert all of the outstanding shares of Series F Preferred Stock. The reporting person is the majority member and manager of the general partner of the entity that holds the applicable securities. In such position, the reporting person has the power to control the voting and disposition of the applicable securities. The warrants expire on the five year anniversary of the closing of the Offering. /s/ Robert C. Moscato, Jr. 2018-07-16