0001140361-17-034022.txt : 20170831 0001140361-17-034022.hdr.sgml : 20170831 20170831194340 ACCESSION NUMBER: 0001140361-17-034022 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20170831 FILED AS OF DATE: 20170831 DATE AS OF CHANGE: 20170831 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORACLE INVESTMENT MANAGEMENT INC CENTRAL INDEX KEY: 0001012622 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34810 FILM NUMBER: 171064287 BUSINESS ADDRESS: STREET 1: 200 GREENWICH AVE STREET 2: 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2126886262 MAIL ADDRESS: STREET 1: 200 GREENWICH AVE STREET 2: 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORACLE PARTNERS LP CENTRAL INDEX KEY: 0000941901 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34810 FILM NUMBER: 171064291 BUSINESS ADDRESS: STREET 1: 200 GREENWICH AVE STREET 2: 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: (203) 862-7980 MAIL ADDRESS: STREET 1: 200 GREENWICH AVE STREET 2: 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORACLE INSTITUTIONAL PARTNERS L P CENTRAL INDEX KEY: 0000924141 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34810 FILM NUMBER: 171064289 BUSINESS ADDRESS: STREET 1: 200 GREENWICH AVENUE STREET 2: 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: (203) 862-7980 MAIL ADDRESS: STREET 1: 200 GREENWICH AVENUE STREET 2: 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FEINBERG LARRY N CENTRAL INDEX KEY: 0000926475 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34810 FILM NUMBER: 171064292 MAIL ADDRESS: STREET 1: C/O ORACLE PARTNERS L P STREET 2: 200 GREENWICH AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oracle Associates LLC CENTRAL INDEX KEY: 0001317217 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34810 FILM NUMBER: 171064288 BUSINESS ADDRESS: STREET 1: 200 GREENWICH AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-862-1660 MAIL ADDRESS: STREET 1: 200 GREENWICH AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oracle Ten Fund Master, LP CENTRAL INDEX KEY: 0001577258 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34810 FILM NUMBER: 171064290 BUSINESS ADDRESS: STREET 1: C/O ORACLE INVESTMENT MANAGEMENT, INC. STREET 2: 200 GREENWICH AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2038627900 MAIL ADDRESS: STREET 1: C/O ORACLE INVESTMENT MANAGEMENT, INC. STREET 2: 200 GREENWICH AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VERMILLION, INC. CENTRAL INDEX KEY: 0000926617 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 330595156 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12117 BEE CAVES ROAD BUILDING THREE STREET 2: SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78738 BUSINESS PHONE: 512-519-0400 MAIL ADDRESS: STREET 1: 12117 BEE CAVES ROAD BUILDING THREE STREET 2: SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78738 FORMER COMPANY: FORMER CONFORMED NAME: CIPHERGEN BIOSYSTEMS INC DATE OF NAME CHANGE: 20000316 FORMER COMPANY: FORMER CONFORMED NAME: ABIOTIC SYSTEMS DATE OF NAME CHANGE: 19950407 4 1 doc1.xml FORM 4 X0306 4 2017-08-31 0 0000926617 VERMILLION, INC. VRML 0000926475 FEINBERG LARRY N C/O ORACLE INVESTMENT MANAGEMENT, INC. 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 1 * See Remarks 0000941901 ORACLE PARTNERS LP C/O ORACLE INVESTMENT MANAGEMENT, INC. 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 1 * See Remarks 0001577258 Oracle Ten Fund Master, LP C/O ORACLE INVESTMENT MANAGEMENT, INC. 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 1 * See Remarks 0000924141 ORACLE INSTITUTIONAL PARTNERS L P C/O ORACLE INVESTMENT MANAGEMENT, INC. 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 1 * See Remarks 0001317217 Oracle Associates LLC C/O ORACLE INVESTMENT MANAGEMENT, INC. 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 1 * See Remarks 0001012622 ORACLE INVESTMENT MANAGEMENT INC 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 1 * See Remarks Common Stock 2017-08-31 4 X 0 583333 1 A 9825289 I See footnote Warrants to acquire Common Stock 1 2017-08-31 4 X 0 583333 D 2017-08-25 2017-08-31 Common Stock 583333 0 I See footnote Warrants to acquire Common Stock 1.8 2017-08-17 2022-02-17 Common Stock 436298 436298 I See footnote See Exhibit 99.1, Note1. See Exhibit 99.1, Note 2. See Exhibit 99.1, Note 3. * See Exhibit 99.1, Note 4. Exhibit List: Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information and Signatures /s/ Larry N. Feinberg 2017-08-31 EX-99.1 2 f22006499a.htm EXPLANATION OF RESPONSES
Designated Filer:  Feinberg, Larry N.
Issuer & Ticker Symbol:  Vermillion, Inc. (VRML)
Date of Event Requiring Statement:  August 31, 2017
 



Explanation of Responses
(1)
The Oracle Funds (as defined below) beneficially own 9,825,289 shares of Common Stock. Oracle Partners, L.P. (“Oracle Partners”) is the record beneficial owner of 5,673,754 shares of Common Stock.  Oracle Ten Fund Master, LP (“Oracle Ten Fund”) is the record beneficial owner of 2,595,980 shares of Common Stock.  Oracle Institutional Partners, L.P. (“Oracle Institutional Partners”) is the record beneficial owner of 1,555,555 shares of Common Stock. Oracle Partners, Oracle Ten Fund and Oracle Institutional Partners shall collectively be referred to herein as the “Oracle Funds”.  Mr. Feinberg is the managing member of Oracle Associates, LLC (“Oracle Associates”), which in turn is the general partner of each of the Oracle Funds.  Mr. Feinberg is also the sole shareholder, director and president of Oracle Investment Management, Inc. (“Investment Manager”), which in turn is the investment manager of Oracle Ten Fund.  Because Investment Manager has investment discretion over Oracle Ten Fund, it has voting and dispositive power over the shares held by Oracle Ten Fund. Because Mr. Feinberg is the sole shareholder, director and president of Investment Manager and the managing member of Oracle Associates and Oracle Associates is the general partner of the Oracle Funds, they have voting and dispositive power over the shares held by the Oracle Funds.  The foregoing is not an admission by Mr. Feinberg, Oracle Associates or Investment Manager that is the beneficial owner of the shares held by the Oracle Funds, and each disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.
(2)
To the extent that any part of this warrant was not exercised by August 31, 2017, the exercise price of the warrant would have reverted to $2.00 per share and the warrant would have expired on December 23, 2017.
(3)
Oracle Partners is the record beneficial owner of a warrant to acquire 463,298 shares of Common Stock. Because Mr. Feinberg is the managing member of Oracle Associates and Oracle Associates is the general partner of Oracle Partners, they have voting and dispositive power over the shares held by Oracle Partners. The foregoing is not an admission by Mr. Feinberg or Oracle Associates that it is the beneficial owner of the shares held by Oracle Partners, and each disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.
(4)
Solely for purposes of Section 16 of the Securities Exchange Act, each of the Oracle Funds, and Oracle Associates, the Investment Manager and Mr. Feinberg, by virtue of their control over the Oracle Funds, may be deemed to be directors-by-deputization by virtue of the Oracle Funds’ contractual right to designate a member of the board of directors of Vermillion, Inc. Eric Varma, a partner of  the Investment Manager, is a member of Vermillion, Inc.’s board of directors.

EX-99.2 3 f22006499b.htm JOINT FILER INFORMATION AND SIGNATURES
Designated Filer:  Feinberg, Larry N.
Issuer & Ticker Symbol:  Vermillion, Inc. (VRML)
Date of Event Requiring Statement:  August 31, 2017

 
Joint Filer Information and Signatures
 
Joint Filers:
Dated:  August 31, 2017
ORACLE PARTNERS, LP
 
By:  ORACLE ASSOCIATES, LLC, its general partner
 
 
By:  /s/ Larry N. Feinberg                 
    Name:  Larry N. Feinberg
    Title:    Managing Member
 
 
Dated:  August 31, 2017
 
ORACLE TEN FUND MASTER, LP
 
By:  ORACLE ASSOCIATES, LLC, its general partner
 
 
By:  /s/ Larry N. Feinberg                   
    Name:  Larry N. Feinberg
    Title:    Managing Member
 
 
Dated:  August 31, 2017
 
ORACLE INSTITUTIONAL PARTNERS, LP
 
By:  ORACLE ASSOCIATES, LLC, its general partner
 
 
By:   /s/ Larry N. Feinberg                 
    Name:  Larry N. Feinberg
    Title:    Managing Member
 
 
 
Designated Filer:  Feinberg, Larry N.
Issuer & Ticker Symbol:  Vermillion, Inc. (VRML)
Date of Event Requiring Statement:  August 31, 2017
 
 
 
Dated:  August 31, 2017
ORACLE ASSOCIATES LLC
 
 
By:  /s/ Larry N. Feinberg                   
    Name:  Larry N. Feinberg
    Title:    Managing Member
 
 
Dated:  August 31, 2017
ORACLE INVESTMENT MANAGEMENT, INC.
 
By:   /s/ Larry N. Feinberg                 
    Name:  Larry N. Feinberg
    Title:    President and Director