- Statement of Changes in Beneficial Ownership (4)
2009年6月25日 - 5:39AM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
PALO ALTO HEALTHCARE MASTER FUND, L.P.
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2. Issuer Name
and
Ticker or Trading Symbol
IDM PHARMA, INC.
[
IDMI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CITCO FUND SERVICES (BERMUDA) LTD., WASHINGTON MALL WEST, 2ND FL., 7 REID ST
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/23/2009
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(Street)
HAMILTON, D0 HM 11
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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9/23/2009
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U
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2931029
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D
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$2.64
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0
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Warrants (Right to buy)
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$3.243
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9/23/2009
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C
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265256
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2/21/2007
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2/20/2012
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Common Stock
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265256
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(2)
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0
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D
(1)
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Warrants (Right to buy)
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$4.06
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9/24/2009
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C
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116315
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6/25/2007
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6/25/2012
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Common Stock
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116315
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(2)
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0
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D
(1)
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Explanation of Responses:
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(
1)
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Palo Alto Healthcare Master Fund, L.P. (the "Master Fund") held these securities directly on behalf of its investors.
Palo Alto Healthcare Fund, L.P. is a limited partner in the Master Fund and, as such, indirectly held a portion of the
Common Stock and Warrants reported on this Form 4 on behalf of its investors.
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(
2)
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The Warrants held by the Master Fund were terminated in exchange for a cash payment equal to the Black-Scholes Value of
such Warrants, calculated pursuant to the terms of such Warrants.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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PALO ALTO HEALTHCARE MASTER FUND, L.P.
C/O CITCO FUND SERVICES (BERMUDA) LTD.
WASHINGTON MALL WEST, 2ND FL., 7 REID ST
HAMILTON, D0 HM 11
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X
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PALO ALTO HEALTHCARE FUND, L.P.
470 UNIVERSITY AVENUE
PALO ALTO, CA 94301
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X
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Signatures
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Palo Alto Healthcare Master Fund, L.P., by Palo Alto Investors, LLC, General Partner, by Palo Alto Investors, Manager, by Mark Shamia, Chief Operating Officer
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6/24/2009
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**
Signature of Reporting Person
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Date
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Palo Alto Healthcare Fund, L.P., by Palo Alto Investors, LLC, General Partner, by Palo Alto Investors, Manager, by Mark Shamia, Chief Operating Officer
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6/24/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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