Form 8-K

0000899243-21-031362.txt : 20210803 0000899243-21-031362.hdr.sgml : 20210803 20210803184131 ACCESSION NUMBER: 0000899243-21-031362 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200324 FILED AS OF DATE: 20210803 DATE AS OF CHANGE: 20210803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS & CO. LLC CENTRAL INDEX KEY: 0000769993 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36571 FILM NUMBER: 211141578 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER NAME: FORMER CONFORMED NAME: GOLDMAN SACHS & CO DATE OF NAME CHANGE: 19931102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36571 FILM NUMBER: 211141577 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER NAME: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: T2 Biosystems, Inc. CENTRAL INDEX KEY: 0001492674 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 204827488 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 101 HARTWELL AVENUE CITY: LEXINGTON STATE: MA ZIP: 02421 BUSINESS PHONE: 781-457-1200 MAIL ADDRESS: STREET 1: 101 HARTWELL AVENUE CITY: LEXINGTON STATE: MA ZIP: 02421 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-03-24 0 0001492674 T2 Biosystems, Inc. TTOO 0000769993 GOLDMAN SACHS & CO. LLC 200 WEST STREET NEW YORK NY 10282 0 0 1 0 0000886982 GOLDMAN SACHS GROUP INC 200 WEST STREET NEW YORK NY 10282 0 0 1 0 Common Stock 2020-03-24 4 P 0 500 0.378 A 4196956 I See Footnotes Common Stock 2020-03-24 4 S 0 500 0.378 D 4196456 I See Footnotes Common Stock 2020-03-25 4 P 0 600 0.9279 A 4197056 I See Footnotes Common Stock 2020-03-25 4 S 0 600 0.9279 D 4196456 I See Footnotes Common Stock 2020-04-09 4 P 0 1000 0.49 A 4197456 I See Footnotes Common Stock 2020-04-09 4 S 0 1000 0.49 D 4196456 I See Footnotes Common Stock 2020-05-06 4 S 0 2655 0.52 D 4193801 I See Footnotes Common Stock 2020-05-06 4 S 0 1000 0.521 D 4192801 I See Footnotes Common Stock 2020-05-06 4 S 0 1000 0.526 D 4191801 I See Footnotes Common Stock 2020-05-06 4 S 0 500 0.528 D 4191301 I See Footnotes Common Stock 2020-05-06 4 S 0 50 0.53 D 4191251 I See Footnotes Common Stock 2020-05-06 4 S 0 500 0.5318 D 4190751 I See Footnotes Common Stock 2020-05-06 4 S 0 100 0.5325 D 4190651 I See Footnotes Common Stock 2020-05-06 4 S 0 6256 0.54 D 4184395 I See Footnotes Common Stock 2020-05-06 4 S 0 100 0.55 D 4184295 I See Footnotes Common Stock 2020-05-06 4 S 0 939 0.5503 D 4183356 I See Footnotes Common Stock 2020-05-06 4 P 0 26200 0.5517 A 4209556 I See Footnotes Common Stock 2020-05-06 4 S 0 10100 0.57 D 4199456 I See Footnotes Common Stock 2020-05-06 4 S 0 2000 0.5701 D 4197456 I See Footnotes Common Stock 2020-05-06 4 S 0 1000 0.5702 D 4196456 I See Footnotes Common Stock 2020-05-12 4 P 0 2500 0.546 A 4198956 I See Footnotes Common Stock 2020-05-12 4 S 0 2500 0.546 D 4196456 I See Footnotes Common Stock 2020-05-19 4 S 0 200 0.8314 D 4196256 I See Footnotes Common Stock 2020-05-19 4 S 0 3235 0.8318 D 4193021 I See Footnotes Common Stock 2020-05-19 4 S 0 2031 0.8325 D 4190990 I See Footnotes Common Stock 2020-05-19 4 S 0 2031 0.8326 D 4188959 I See Footnotes Common Stock 2020-05-19 4 P 0 10328 0.8329 A 4199287 I See Footnotes Common Stock 2020-05-19 4 S 0 800 0.8345 D 4198487 I See Footnotes Common Stock 2020-05-19 4 S 0 2031 0.8347 D 4196456 I See Footnotes Common Stock 2020-05-20 4 P 0 5126 0.803 A 4201582 I See Footnotes These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Balance of trades included in attached schedule. (See Exhibit 99.1) /s/ Jamison Yardley, Attorney-in-fact 2021-08-03 /s/ Jamison Yardley, Attorney-in-fact 2021-08-03 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT Form 8-K

EXHIBIT 99.1

Table 1 – Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security

(Instr. 3)

2. Transaction

Date

(Month/
Day/

Year)

2A.

Deemed

Execution

Date, if

any

(Month/

Day/

Year)

3. Transaction

Code

(Instr. 8)

4. Securities Acquired (A)

or Disposed of (D)

(Instr. 3, 4 and 5)

5. Amount of Securities
Beneficially Owned

Following

Reported

Transaction(s)

(Instr. 3 and 4)

6. Ownership

Form:

Direct

(D) or
Indirect

(I)

(Instr. 4)

7.
Nature of Indirect
Beneficial
Ownership

(Instr. 4)

Code (P)
or (S)

Amount

(A)

(D)

Price

Common Stock^(1)(2)(3)

05/20/2020

5,820

$ 0.8034

4,195,762⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

05/20/2020

694

$ 0.8060

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

05/26/2020

5,642

$ 0.7900

4,202,098⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

05/26/2020

13,800

$ 0.7974

4,188,298⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

05/26/2020

7,458

$ 0.8000

4,195,756⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

05/26/2020

1,950

$ 0.8300

4,197,706⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

05/26/2020

1,250

$ 0.8300

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

05/28/2020

1,250

$ 0.8500

4,197,706⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

05/28/2020

1,250

$ 0.8500

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/03/2020

1,781

$ 1.0700

4,198,237⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/03/2020

200

$ 1.0900

4,198,437⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/03/2020

1,051

$ 1.1000

4,199,488⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/03/2020

10,000

$ 1.1314

4,189,488⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/03/2020

4,835

$ 1.1500

4,194,323⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/03/2020

2,133

$ 1.1600

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/04/2020

7,500

$ 1.2900

4,203,956⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/04/2020

7,500

$ 1.2900

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/08/2020

3,200

$ 1.3400

4,199,656⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/08/2020

5,474

$ 1.3442

4,194,182⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/08/2020

2,274

$ 1.3500

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/09/2020

200

$ 1.2900

4,196,256⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/09/2020

38,963

$ 1.3629

4,235,219⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/09/2020

38,963

$ 1.3629

4,196,256⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/09/2020

3,800

$ 1.3633

4,200,056⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/09/2020

3,600

$ 1.3674

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/10/2020

163,073

$ 1.7000

4,359,529⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/10/2020

163,073

$ 1.7000

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/10/2020

163,073

$ 1.7317

4,359,529⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/10/2020

163,073

$ 1.7317

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/11/2020

2,000

$ 1.5000

4,194,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/11/2020

2,000

$ 1.5300

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/11/2020

2,000

$ 1.5300

4,194,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/11/2020

300

$ 1.5800

4,194,156⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/11/2020

46,050

$ 1.5955

4,240,206⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/11/2020

43,750

$ 1.6000

4,196,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/15/2020

47,750

$ 1.6100

4,234,206⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/15/2020

47,750

$ 1.6100

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/16/2020

2,000

$ 1.5000

4,188,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/16/2020

2,000

$ 1.5000

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/17/2020

708

$ 1.4410

4,185,748⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/17/2020

2,708

$ 1.4476

4,188,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/17/2020

2,000

$ 1.4500

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/29/2020

300

$ 1.2900

4,186,756⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/29/2020

300

$ 1.2900

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/29/2020

3,973

$ 1.3300

4,190,429⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/29/2020

5,000

$ 1.3341

4,185,429⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

06/29/2020

1,027

$ 1.3500

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/01/2020

250,000

$ 1.7542

4,436,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/01/2020

250,000

$ 1.7542

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/01/2020

47,586

$ 1.9254

4,234,042⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/01/2020

250,000

$ 1.9362

4,484,042⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/01/2020

297,586

$ 1.9345

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/07/2020

350

$ 1.2400

4,186,806⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/07/2020

350

$ 1.2400

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/08/2020

$ 1.2900

4,186,406⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/08/2020

350

$ 1.2943

4,186,756⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/08/2020

300

$ 1.2950

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/21/2020

500

$ 1.7400

4,267,807⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/21/2020

500

$ 1.7400

4,267,307⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/22/2020

1,500

$ 1.6813

4,187,956⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/22/2020

1,500

$ 1.6813

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/23/2020

3,000

$ 1.6883

4,189,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/23/2020

3,000

$ 1.6883

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/24/2020

7,500

$ 1.5500

4,193,956⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/24/2020

8,211

$ 1.5508

4,185,745⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/24/2020

100

$ 1.5550

4,185,845⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/24/2020

611

$ 1.5600

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/28/2020

7,523

$ 1.4800

4,193,979⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

07/28/2020

7,523

$ 1.4800

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

08/03/2020

46,565

$ 1.6473

4,233,021⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Common Stock^(1)(2)(3)

08/03/2020

46,565

$ 1.6473

4,186,456⁽⁴⁾⁽⁵⁾

See Footnotes⁽⁴⁾⁽⁵⁾

Explanation of Responses:

These transactions in the common stock (the “Common Stock”) of T2 Biosystems, Inc. (the “Issuer”) have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC (“Goldman Sachs”) acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business.

Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer.

3.	This statement is being filed by The Goldman Sachs Group, Inc. (“GS Group”) and Goldman Sachs (together, with GS Group, the “Reporting Persons”). Goldman Sachs is a subsidiary of GS Group.

GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the “GS Funds”) because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock.

Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.