- Statement of Changes in Beneficial Ownership (4)
22 12월 2012 - 8:12AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
ADAGE CAPITAL PARTNERS GP LLC
|
2. Issuer Name
and
Ticker or Trading Symbol
SMART BALANCE, INC.
[
SMBL
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
200 CLARENDON STREET, 52ND FLOOR
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/20/2012
|
(Street)
BOSTON, MA 02116
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, par value $0.0001 per share ("Common Stock")
|
12/20/2012
|
|
S
|
|
6000
|
D
|
$13.59
|
6970302
|
I
|
See Footnote
(1)
|
Common Stock
|
12/20/2012
|
|
S
|
|
3400
|
D
|
$13.58
|
6966902
|
I
|
See Footnote
(1)
|
Common Stock
|
12/20/2012
|
|
S
|
|
116480
|
D
|
$13.59
|
6850422
|
I
|
See Footnote
(1)
|
Common Stock
|
12/20/2012
|
|
S
|
|
127900
|
D
|
$13.46
|
6722522
|
I
|
See Footnote
(1)
|
Common Stock
|
12/21/2012
|
|
S
|
|
900
|
D
|
$13.32
|
6721622
|
I
|
See Footnote
(1)
|
Common Stock
|
12/21/2012
|
|
S
|
|
1704
|
D
|
$13.33
|
6719918
|
I
|
See Footnote
(1)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"), and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. ACPGP, ACA, Robert Atchinson and Phillip Gross disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
ADAGE CAPITAL PARTNERS GP LLC
200 CLARENDON STREET
52ND FLOOR
BOSTON, MA 02116
|
|
X
|
|
|
Adage Capital Partners, L.P.
200 CLARENDON STREET, 52ND FLOOR
BOSTON, MA 02116
|
|
X
|
|
|
Adage Capital Advisors, L.L.C.
200 CLARENDON STREET
52ND FLOOR
BOSTON, MA 02116
|
|
X
|
|
|
Atchinson Robert
200 CLARENDON STREET
52ND FLOOR
BOSTON, MA 02116
|
|
X
|
|
|
Gross Phillip
200 CLARENDON STREET
52ND FLOOR
BOSTON, MA 02116
|
|
X
|
|
|
Signatures
|
/s/ Adage Capital Partners GP, L.L.C.; By its managing member Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson
|
|
12/21/2012
|
**
Signature of Reporting Person
|
Date
|
/s/ Adage Capital Partners, L.P.; By its general partner Adage Capital Partners GP, L.L.C.; By its managing member Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson
|
|
12/21/2012
|
**
Signature of Reporting Person
|
Date
|
/s/ Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson
|
|
12/21/2012
|
**
Signature of Reporting Person
|
Date
|
/s/ Robert Atchinson
|
|
12/21/2012
|
**
Signature of Reporting Person
|
Date
|
/s/ Phillip Gross
|
|
12/21/2012
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Boulder Brands, Inc. (MM) (NASDAQ:SMBL)
과거 데이터 주식 차트
부터 2월(2) 2025 으로 3월(3) 2025
Boulder Brands, Inc. (MM) (NASDAQ:SMBL)
과거 데이터 주식 차트
부터 3월(3) 2024 으로 3월(3) 2025
Boulder Brands, Inc. (MM) (나스닥)의 실시간 뉴스: 최근 기사 0
More News Articles