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