CUSIP No. | 923449102 |
1 | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||||
Iliad Research & Trading, L.P. 11-3688679 | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS) | ||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Utah | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
3,415,194* | |||||
6 | SHARED VOTING POWER | ||||
7 | SOLE DISPOSITIVE POWER | ||||
3,415,194* | |||||
8 | SHARED DISPOSITIVE POWER | ||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,415,194* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.99*% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN | |||||
FOOTNOTES | |||||
* Reporting Person Iliad Research & Trading, L.P. (“Iliad”) has rights to convert a Secured Convertible Promissory Note into shares of the Issuer’s common stock. On the date of the event which requires filing this Statement, the number of shares of the Issuer’s common stock beneficially owned by Iliad was 3,415,194 shares, which represents the maximum percentage ownership allowed under the terms of the Secured Convertible Promissory Note in effect on that date. The 3,415,194 shares represent 9.99% of the 34,186,131 shares outstanding on that date (as reported in the Issuer’s Form 10-Q filed August 20, 2014). |
CUSIP No. | 923449102 |
1 | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||||
Iliad Managment, LLC 20-0411071 | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS) | ||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
3,415,194* | |||||
6 | SHARED VOTING POWER | ||||
7 | SOLE DISPOSITIVE POWER | ||||
3,415,194* | |||||
8 | SHARED DISPOSITIVE POWER | ||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,415,194* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.99*% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO | |||||
FOOTNOTES | |||||
* Reporting person Iliad Management, LLC is the General Partner of reporting person Iliad. Iliad has rights to convert a Secured Convertible Promissory Note into shares of the Issuer’s common stock. On the date of the event which requires filing this Statement, the number of shares of the Issuer’s common stock beneficially owned by Iliad was 3,415,194 shares, which represents the maximum percentage ownership allowed under the terms of the Secured Convertible Promissory Note in effect on that date. The 3,415,194 shares represent 9.99% of the 34,186,131 shares outstanding on that date (as reported in the Issuer’s Form 10-Q filed August 20, 2014). |
CUSIP No. | 923449102 |
1 | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||||
Fife Trading, Inc. 36-4151891 | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS) | ||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Illinois | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
3,415,194* | |||||
6 | SHARED VOTING POWER | ||||
7 | SOLE DISPOSITIVE POWER | ||||
3,415,194* | |||||
8 | SHARED DISPOSITIVE POWER | ||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,415,194* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.99*% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
CO | |||||
FOOTNOTES | |||||
* Reporting person Fife Trading, Inc. is the Manager of Iliad Management, LLC, which is the General Partner of reporting person Iliad. Iliad has rights to convert a Secured Convertible Promissory Note into shares of the Issuer’s common stock. On the date of the event which requires filing this Statement, the number of shares of the Issuer’s common stock beneficially owned by Iliad was 3,415,194 shares, which represents the maximum percentage ownership allowed under the terms of the Secured Convertible Promissory Note in effect on that date. The 3,415,194 shares represent 9.99% of the 34,186,131 shares outstanding on that date (as reported in the Issuer’s Form 10-Q filed August 20, 2014). |
CUSIP No. | 923449102 |
1 | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||||
John M. Fife | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS) | ||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States of America | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
3,415,194* | |||||
6 | SHARED VOTING POWER | ||||
7 | SOLE DISPOSITIVE POWER | ||||
3,415,194* | |||||
8 | SHARED DISPOSITIVE POWER | ||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,415,194* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.99*% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN | |||||
FOOTNOTES | |||||
* John Fife is the President of Fife Trading, Inc., which is the Manger of Iliad Management, LLC, which is the General Partner of reporting person Iliad. Iliad has rights to convert a Secured Convertible Promissory Note into shares of the Issuer’s common stock. On the date of the event which requires filing this Statement, the number of shares of the Issuer’s common stock beneficially owned by Iliad was 3,415,194 shares, which represents the maximum percentage ownership allowed under the terms of the Secured Convertible Promissory Note in effect on that date. The 3,415,194 shares represent 9.99% of the 34,186,131 shares outstanding on that date (as reported in the Issuer’s Form 10-Q filed August 20, 2014). |
(a) | Name
of Issuer |
VERITEQ CORPORATION |
(b) | Address
of Issuer’s Principal Executive Offices |
220 Congress Park Drive, Suite 200
Delray Beach, Florida |
(a) | Name
of Person Filing |
This report is filed by Iliad Research and Trading, LP, Iliad Management, LLC, Fife Trading, Inc., and John M. Fife with respect to the shares of Common Stock, $0.01 par value per share, of the Issuer that are directly beneficially owned by Iliad Research and Trading, LP and indirectly beneficially owned by the other reporting and filing persons. |
(b) | Address
of Principal Business Office or, if none, Residence |
The address of the principal business office of each reporting and filing person is:
303 East Wacker Drive, Suite 1200, Chicago, IL 60601 |
(c) | Citizenship |
Iliad Research and Trading, LP is a Utah limited partnership.
Iliad Management, LLC is a Delaware limited liability company. Fife Trading, Inc. is an Illinois corporation. John M. Fife is a United States citizen. |
(d) | Title
of Class of Securities |
Common Stock, $0.01 par value |
(e) | CUSIP
Number |
923449102 |
Item
3. | If
this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c),
check whether the person filing is a: |
(a) | o | Broker
or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
(b) | o | Bank
as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
(c) | o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
|
(d) | o | Investment
company registered under section 8 of the Investment Company Act of 1940 (15
U.S.C 80a-8). |
(e) | o | An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
(f) | o | An
employee benefit plan or endowment fund in accordance with
§240.13d-1(b)(1)(ii)(F); |
(g) | o | A
parent holding company or control person in accordance with §
240.13d-1(b)(1)(ii)(G); |
(h) | o | A
savings associations as defined in Section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C. 1813); |
(i) | o | A
church plan that is excluded from the definition of an investment company under
section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
(j) | o | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). |
(k) | o |
A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify
the type of institution:
|
Item
4. | Ownership. |
(a) |
Amount beneficially owned:
3,415,194 |
(b) |
Percent of class: 9.99 |
(c) | Number
of shares as to which the person has: |
(i) |
Sole power to vote or to direct the vote:
3,415,194 |
(ii) |
Shared power to vote or to direct the vote:
0 |
(iii) |
Sole power to dispose or to direct the disposition of:
3,415,194 |
(iv) |
Shared power to dispose or to direct the disposition of:
0 |
Item
5. | Ownership
of Five Percent or Less of a Class |
Item
6. | Ownership
of More than Five Percent on Behalf of Another Person. |
Item
7. | Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported
on By the Parent Holding Company |
Item
8. | Identification
and Classification of Members of the Group |
Item
9. | Notice
of Dissolution of Group |
Item
10. | Certification |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
Iliad Research and Trading, LP | |||
Date:
September 10, 2014 | By:
| /s/ John M Fife | |
Name: John M Fife | |||
Title: President | |||
Iliad Management, LLC | |||
Date:
September 10, 2014 | By:
| /s/ John M Fife | |
Name: John M Fife | |||
Title: President | |||
Fife Trading, Inc. | |||
Date:
September 10, 2014 | By:
| /s/ John M Fife | |
Name: John M Fife | |||
Title: President | |||
Date:
September 10, 2014 | By:
| /s/ John M Fife | |
Name: John M Fife | |||
Title: | |||
Footnotes: |
Attention: | Intentional
misstatements or omissions of fact constitute Federal criminal violations (See
18 U.S.C. 1001) |