0001209191-16-114037.txt : 20160412 0001209191-16-114037.hdr.sgml : 20160412 20160412201929 ACCESSION NUMBER: 0001209191-16-114037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150316 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37544 FILM NUMBER: 161568238 MAIL ADDRESS: STREET 1: TARGETED GENETICS CORP STREET 2: 1100 OLIVE WAY STE 100 CITY: SEATTLE STATE: WA ZIP: 98101 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-03-16 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 2015-03-16 4 P 0 68455 8.25 A 188455 I See Footnote Common Stock 2016-04-08 4 C 0 208150 A 396605 I See Footnote Common Stock 2016-04-08 4 P 0 171298 A 567903 I See Footnote Warrant to Purchase Common Stock 10.75 2015-03-16 4 P 0 17114 10.75 A 2020-03-16 Common Stock 17114 17114 I See Footnote Series B Convertible Preferred Stock 2016-04-08 4 P 0 326468 0.81 A Common Stock 65293 1040753 I See Footnote Warrant to Purchase Common Stock 4.05 2016-04-08 4 P 0 34184 0.001 A 2021-03-31 Common Stock 34184 34184 I See Footnote Series B Convertible Preferred Stock 2016-04-08 4 C 0 1040753 0.00 D Common Stock 208150 0 I See Footnote Warrant to Purchase Common Stock 7.00 2016-04-08 4 D 0 35714 D 2018-06-26 Common Stock 35714 0 I See Footnote Warrant to Purchase Common Stock 4.05 2016-04-08 4 A 0 35714 A 2021-03-31 Common Stock 35714 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. Each 5 shares of Series B Convertible Preferred Stock converted into one share of the Issuer's common stock for no additional consideration and had no expiration date The Shares were issued pursuant to a Common Stock Issuance Agreement dated April 8, 2016 (the "Agreement") between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"). As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer. Immediately exercisable. The warrant is held by Phillip Asset Management. The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by Phillip Asset Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. The Series B 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 Preferred Stock. The holder agreed to the amendment of the warrant issued to it by the Issuer on June 26, 2013 in order to reduce the exercise price of such warrant from $7.00 per share to $4.05 per share and extend the expiration date thereof from June 26, 2018 to March 31, 2021. /s/ Jeremy Curnock Cook 2016-04-12