0001209191-18-021678.txt : 20180326 0001209191-18-021678.hdr.sgml : 20180326 20180326205004 ACCESSION NUMBER: 0001209191-18-021678 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160621 FILED AS OF DATE: 20180326 DATE AS OF CHANGE: 20180326 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: 18713932 MAIL ADDRESS: STREET 1: TARGETED GENETICS CORP STREET 2: 1100 OLIVE WAY STE 100 CITY: SEATTLE STATE: WA ZIP: 98101 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-06-21 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 2016-06-21 4 P 0 15057 A 71847 I See Footnote Common Stock 2016-11-22 4 P 0 46666 7.40 A 118513 I See Footnote Common Stock 2017-06-29 4 P 0 5757 A 124270 I See Footnote Common Stock 2017-09-19 4 P 0 105015 A 229285 I See Footnote Common Stock 2018-03-22 4 P 0 181820 1.10 A 411105 I See Footnote Common Stock 330 D Warrant to Purchase Common Stock 0.5749 2016-11-22 4 P 0 46666 0.10 A 2021-11-22 Common Stock 46666 46666 I See Footnote The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. 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. 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. Price reported is reflective of adjustments made to the exercise price after the date of issuance pursuant to the terms of the warrant. Immediately exercisable. The warrant is held by One Funds Management. The Reporting Person may be deemed to have shared voting and dispositive power over the securities beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. /s/ Steve Martin, attorney-in-fact 2018-03-26