0001209191-16-114036.txt : 20160412
0001209191-16-114036.hdr.sgml : 20160412
20160412201817
ACCESSION NUMBER: 0001209191-16-114036
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140218
FILED AS OF DATE: 20160412
DATE AS OF CHANGE: 20160412
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: 3579 VALLEY CENTRE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
BUSINESS PHONE: 804-827-2524
MAIL ADDRESS:
STREET 1: 3579 VALLEY CENTRE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
FORMER COMPANY:
FORMER CONFORMED NAME: TARGETED GENETICS CORP /WA/
DATE OF NAME CHANGE: 19940331
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: COOK JEREMY CURNOCK
CENTRAL INDEX KEY: 0001216486
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37544
FILM NUMBER: 161568237
MAIL ADDRESS:
STREET 1: TARGETED GENETICS CORP
STREET 2: 1100 OLIVE WAY STE 100
CITY: SEATTLE
STATE: WA
ZIP: 98101
3/A
1
doc3a.xml
FORM 3/A SUBMISSION
X0206
3/A
2014-02-18
2014-02-18
0
0000921114
AmpliPhi Biosciences Corp
APHB
0001216486
COOK JEREMY CURNOCK
C/O AMPLIPHI BIOSCIENCES CORPORATION
3579 VALLEY CENTRE DRIVE, SUITE 100
SAN DIEGO
CA
92130
1
0
0
0
Common Stock
120000
I
See Footnote
Series B Convertible Preferred Stock
Common Stock
142857
I
See Footnote
Warrant to Purchase Common Stock
7.00
2018-06-26
Common Stock
35714
I
See Footnote
The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.
The Series B Convertible Preferred Stock has no expiration date and is convertible at any time at the option of the holder at a conversion ratio of one share of Common Stock for every 5 shares of Series B Convertible Preferred Stock, for no additional consideration.
The warrant is exercisable at any time at the option of the holder.
The warrant is held by Phillip Asset Management. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.
/s/ Jeremy Curnock Cook
2016-04-12