- Initial Statement of Beneficial Ownership (3)
20 10월 2012 - 5:25AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
KIRK RANDAL J
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/16/2012
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3. Issuer Name
and
Ticker or Trading Symbol
Synthetic Biologics, Inc. [SYN]
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(Last)
(First)
(Middle)
C/O THIRD SECURITY, LLC, 1881 GROVE AVENUE
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4. 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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(Street)
RADFORD, VA 24141
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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6675768
(1)
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I
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by Intrexon
(2)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Explanation of Responses:
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(
1)
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Pursuant to an Exclusive Channel Collaboration Agreement entered into between Intrexon Corporation ("Intrexon") and Synthetic Biologics, Inc. ("Synthetic Biologics") on November 18, 2011 ("Channel Agreement #1"), Synthetic Biologics agreed to issue to Intrexon 3,123,558 shares of common stock of the issuer as partial consideration for the execution and delivery of Channel Agreement #1. The closing date of Channel Agreement #1 was December 7, 2011. In connection with a subsequent Exclusive Channel Collaboration Agreement between Intrexon and Synthetic Biologics on August 6, 2012 ("Channel Agreement #2"), Synthetic Biologics agreed to issue to Intrexon 3,552,210 shares of common stock of the issuer as partial consideration for the execution and delivery of Channel Agreement #2. The closing date of Channel Agreement #2 was October 16, 2012.
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(
2)
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Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
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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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KIRK RANDAL J
C/O THIRD SECURITY, LLC
1881 GROVE AVENUE
RADFORD, VA 24141
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X
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INTREXON CORP
C/O LEGAL DEPARTMENT
20358 SENECA MEADOWS PARKWAY
GERMANTOWN, MD 20876
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X
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Signatures
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/s/ Randal J. Kirk
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10/19/2012
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**
Signature of Reporting Person
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Date
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/s/ Randal J. Kirk, CEO Intrexon Corporation
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10/19/2012
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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 5(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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Synthetic Biologics (AMEX:SYN)
과거 데이터 주식 차트
부터 6월(6) 2024 으로 7월(7) 2024
Synthetic Biologics (AMEX:SYN)
과거 데이터 주식 차트
부터 7월(7) 2023 으로 7월(7) 2024
Synthetic Biologics Inc (아메리카 증권거래소)의 실시간 뉴스: 최근 기사 0
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