0001140361-15-012497.txt : 20150318 0001140361-15-012497.hdr.sgml : 20150318 20150318165809 ACCESSION NUMBER: 0001140361-15-012497 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150316 FILED AS OF DATE: 20150318 DATE AS OF CHANGE: 20150318 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AmpliPhi Biosciences Corp CENTRAL INDEX KEY: 0000921114 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 911549568 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4870 SADLER ROAD STREET 2: SUITE 300 CITY: GLEN ALLEN STATE: VA ZIP: 23060 BUSINESS PHONE: 650-888-2422 MAIL ADDRESS: STREET 1: 4870 SADLER ROAD STREET 2: SUITE 300 CITY: GLEN ALLEN STATE: VA ZIP: 23060 FORMER COMPANY: FORMER CONFORMED NAME: TARGETED GENETICS CORP /WA/ DATE OF NAME CHANGE: 19940331 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INTREXON CORP CENTRAL INDEX KEY: 0001356090 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23930 FILM NUMBER: 15710658 BUSINESS ADDRESS: STREET 1: 1750 KRAFT DRIVE STREET 2: SUITE 1400 CITY: BLACKSBURG STATE: VA ZIP: 24060 BUSINESS PHONE: 301-556-9809 MAIL ADDRESS: STREET 1: 1750 KRAFT DRIVE STREET 2: SUITE 1400 CITY: BLACKSBURG STATE: VA ZIP: 24060 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIRK RANDAL J CENTRAL INDEX KEY: 0001091823 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23930 FILM NUMBER: 15710659 MAIL ADDRESS: STREET 1: 1881 GROVE AVENUE CITY: RADFORD STATE: VA ZIP: 24141 4 1 doc1.xml FORM 4 X0306 4 2015-03-16 0 0000921114 AmpliPhi Biosciences Corp APHB 0001091823 KIRK RANDAL J C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD VA 24141 0 0 1 0 0001356090 INTREXON CORP C/O LEGAL DEPARTMENT 20374 SENECA MEADOWS PARKWAY GERMANTOWN MD 20876 0 0 1 0 Common Stock 2015-03-16 4 P 0 13939392 0.165 A 37939392 I by Intrexon Corporation Common Stock 20000000 I NRM VII Holdings Warrant to Purchase Common Stock 0.215 2015-03-16 4 P 0 3484848 A 2020-03-16 Common Stock 3484848 3484848 I by Intrexon Corporation Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon Corporation. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon Corporation. Shares held by Intrexon Corporation may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Randal J. Kirk controls NRM VII Holdings I, LLC ("NRM VII Holdings"). Shares held by this entity may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The warrants will be exercisable beginning on the date the issuer effects a reverse stock split or increases the number of authorized shares of common stock, in either case in an amount sufficient to permit the exercise in full of these warrants. On March 16, 2015, in a private placement, Intrexon Corporation purchased 13,939,392 shares of common stock of the issuer and in connection therewith the issuer issued to Intrexon Corporation warrants to purchase 0.25 shares of common stock for each share of common stock purchased, or warrants to purchase 3,484,848 shares of common stock in the aggregate. /s/ Randal J. Kirk 2015-03-18 /s/ Randal J. Kirk, CEO of Intrexon Corporation 2015-03-18