0001104659-12-004495.txt : 20120127 0001104659-12-004495.hdr.sgml : 20120127 20120127112143 ACCESSION NUMBER: 0001104659-12-004495 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20120127 DATE AS OF CHANGE: 20120127 GROUP MEMBERS: ALWYN MICHAEL PARFITT MD GROUP MEMBERS: BARNETT PITZELE GROUP MEMBERS: BART HENDERSON GROUP MEMBERS: BENITA S. KATZENELLENBOGEN PHD GROUP MEMBERS: BENJAMIN C. LANE GROUP MEMBERS: BOARD OF TRUSTEES OF THE UNIVERSITY OF ARKANSAS GROUP MEMBERS: BREINING FAMILY TRUST DATED AUGUST 15, 2003 GROUP MEMBERS: BRIAN NICHOLAS HARVEY GROUP MEMBERS: CECIL RICHARD LYTTLE GROUP MEMBERS: CHARLES O BRIEN PHD GROUP MEMBERS: CHRISTOPHER MILLER GROUP MEMBERS: DAVID E. THOMPSON REVOCABLE TRUST GROUP MEMBERS: DENNIS A. CARSON GROUP MEMBERS: DOTTY PAQUIN GROUP MEMBERS: DR. JOHN POTTS, JR & SUSANNE K. POTTS IRREVOCABLE TRUST FO GROUP MEMBERS: E. KELLY SULLIVAN GROUP MEMBERS: H. WATT GREGORY III GROUP MEMBERS: H2 ENTERPRISES, LLC GROUP MEMBERS: HOSTETLER FAMILY TRUST UTD 3/18/92, KARL Y. HOSTETLER & MA GROUP MEMBERS: JOHN A. KATZENELLENBOGEN PHD GROUP MEMBERS: JOHN A. KATZENELLENBOGEN TRUST UNDER AGREEMENT DATED AUGUST GROUP MEMBERS: JOHN THOMAS POTTS MD GROUP MEMBERS: JONATHAN GUERRIERO GROUP MEMBERS: JONNIE K. WESTBROOK REVOCABLE TRUST, DATED MARCH 17, 200 GROUP MEMBERS: KELLY COLBOURN GROUP MEMBERS: KENT C. WESTBROOK REVOCABLE TRUST, DATED MARCH 17, 2000, GROUP MEMBERS: LLOYDS BANKING GROUP PLC GROUP MEMBERS: LOUIS O DEA GROUP MEMBERS: MAYSOUN SHOMALI GROUP MEMBERS: MICHAEL ROSENBLATT MD GROUP MEMBERS: PATRICIA E. ROSENBLATT GROUP MEMBERS: RAYMOND F. SCHINAZI GROUP MEMBERS: RICHMAN TRUST DATED 2/6/83, DOUGLAS D. RICHMAN, CO-TRUST GROUP MEMBERS: ROBERT L. JILKA PHD GROUP MEMBERS: ROBERT S. WEINSTEIN MD GROUP MEMBERS: RUFF TRUST, F. BRONSON VAN WYCK, TRUSTEE GROUP MEMBERS: SAMUEL HO GROUP MEMBERS: SCOTTISH WIDOWS INVESTMENT PARTNERSHIP GROUP LTD GROUP MEMBERS: SOCRATES E. PAPAPOULOS MD GROUP MEMBERS: STAVROS C. MANOLAGAS GROUP MEMBERS: STAVROULA KOUSTENI PHD GROUP MEMBERS: TERESITA M. BELLIDO PHD GROUP MEMBERS: THOMAS E. SPARKS JR. GROUP MEMBERS: TONYA D. GOSS GROUP MEMBERS: WAVERLEY HEALTHCARE PRIVATE EQUITY LTD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Radius Health, Inc. CENTRAL INDEX KEY: 0001428522 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 800145732 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-84055 FILM NUMBER: 12550329 BUSINESS ADDRESS: STREET 1: ATTN: CHIEF FINANCIAL OFFICER STREET 2: 201 BROADWAY, 6TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 617 425 9225 MAIL ADDRESS: STREET 1: ATTN: CHIEF FINANCIAL OFFICER STREET 2: 201 BROADWAY, 6TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 FORMER COMPANY: FORMER CONFORMED NAME: MPM ACQUISITION CORP DATE OF NAME CHANGE: 20080228 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Healthcare Private Equity Limited Partnership CENTRAL INDEX KEY: 0001540310 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: EDINBURGH ONE STREET 2: MORRISON STREET CITY: EDINBURGH STATE: X0 ZIP: EH3 8BE BUSINESS PHONE: 44 131 655 8165 MAIL ADDRESS: STREET 1: EDINBURGH ONE STREET 2: MORRISON STREET CITY: EDINBURGH STATE: X0 ZIP: EH3 8BE SC 13D 1 a12-3548_1sc13d.htm SC 13D

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

 

[Rule 13d-101]

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO

§ 240.13d-2(a)

 

(Amendment No.     )*

 

Radius Health Inc.

(Name of Issuer)

 

Common Stock, $.0001 par value

(Title of Class of Securities)

 

None

(CUSIP Number)

 

Mr. Nicholas Harvey

201 Broadway, 6th Floor

Cambridge, MA 02139

Tel: (617) 551-4700

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

May 17, 2011

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.

 

(Continued on following page)

 


* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 



 

 

1

Names of Reporting Persons
Healthcare Private Equity Limited Partnership

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Scotland

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
765,020(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
765,020(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
765,020(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
3.6%(1)

 

 

14

Type of Reporting Person
PN

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 54.2%.

 

2



 

 

1

Names of Reporting Persons
Lloyds Banking Group plc

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United Kingdom

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
765,020(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
765,020(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
765,020(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
3.6%(1)

 

 

14

Type of Reporting Person
OO

 


(1)                                  Includes 765,020 shares owned by Healthcare Private Equity Limited Partnership (“HPELP”).  HPELP is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of HPELP’s shares of Common Stock. As a result, HPELP may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Such group may be deemed to also include the Reporting Person based on its relationship with HPELP.  Except as noted, shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaims beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 54.2%.

 

3



 

 

1

Names of Reporting Persons
Scottish Widows Investment Partnership Group Limited

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
England

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
765,020(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
765,020(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
765,020(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
3.6%(1)

 

 

14

Type of Reporting Person
OO

 


(1)                                  Includes 765,020 shares owned by Healthcare Private Equity Limited Partnership (“HPELP”).  HPELP is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of HPELP’s shares of Common Stock. As a result, HPELP may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Such group may be deemed to also include the Reporting Person based on its relationship with HPELP.  Except as noted, shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaims beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 54.2%.

 

4



 

 

1

Names of Reporting Persons
Waverley Healthcare Private Equity Limited

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Scotland

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
765,020(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
765,020(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
765,020(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
3.6%(1)

 

 

14

Type of Reporting Person
OO

 


(1)                                  Includes 765,020 shares owned by Healthcare Private Equity Limited Partnership.

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 54.2%.

 

5



 

 

1

Names of Reporting Persons
Raymond F. Schinazi

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
34,250(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
34,250(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
34,250(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.2%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 5.0%.

 

6



 

 

1

Names of Reporting Persons
David E. Thompson Revocable Trust

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Indiana, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
22,070(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
22,070(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
22,070(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 3.3%.

 

7



 

 

1

Names of Reporting Persons
Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and Margaretha Hostetler, Co-Trustees

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
California, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
8,195(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
8,195(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
8,195(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 1.3%.

 

8



 

 

1

Names of Reporting Persons
H. Watt Gregory III

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
20,044(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
20,044(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,044(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                  Includes 5,124 shares owned by H2 Enterprises, LLC.

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 3.0%.

 

9



 

 

1

Names of Reporting Persons
The Richman Trust Dated 2/6/83, Douglas D. Richman, Co-Trustee and Eva A. Richman, Co-Trustee

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
California, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
7,300(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
7,300(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
7,300(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 1.1%.

 

10



 

 

1

Names of Reporting Persons
The Breining Family Trust Dated August 15, 2003

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
California, USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
4,550(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
4,550(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
4,550(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.7%.

 

11



 

 

1

Names of Reporting Persons
Dennis A. Carson

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
533(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
533(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
533(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

12



 

 

1

Names of Reporting Persons
The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000, Jonnie K. Westbrook, Trustee

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
363(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
363(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
363(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

13



 

 

1

Names of Reporting Persons
Stavros C. Manolagas

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
91,040(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
91,040 (1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
91,040 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.4%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 14.1%.

 

14



 

 

1

Names of Reporting Persons
Michael Rosenblatt MD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
43,915(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
43,915 (1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
43,915 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.2%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                  Includes 852 options to purchase Common Stock anticipated to be exercisable within 60 days after the date of this filing. 

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 6.8%.

 

15



 

 

1

Names of Reporting Persons
Patricia E. Rosenblatt

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
41,357(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
41,357(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
41,357(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.2%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 6.4%.

 

16



 

 

1

Names of Reporting Persons
Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated 6-15-05

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Massachusetts, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
20,291(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
20,291 (1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,291 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 3.1%.

 

17



 

 

1

Names of Reporting Persons
John Thomas Potts MD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
69,932(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
69,932 (1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
69,932 (1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.3%(1)

 

 

14

Type of Reporting Person
IN

 


(1)                                  Includes 20,291 shares owned by the Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated 6-15-05 and held in trust by John Thomas Potts MD and 699 options to purchase Common Stock anticipated to be exercisable within 60 days after the date of this filing. 

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 10.8%.

 

18



 

 

1

Names of Reporting Persons
John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Illinois

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
40,438(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
40,438(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
40,438(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares    o

 

 

13

Percent of Class Represented by Amount in Row 11
0.2%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)                                  The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 6.3%.

 

19



 

 

1

Names of Reporting Persons
John A. Katzenellenbogen PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
56,065(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
56,065(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
56,065(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.3%(1)

 

 

14

Type of Reporting Person
IN

 


(1)     Includes 40,438 shares owned by the John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999 and held in trust by John A. Katzenellenbogen PhD.

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 8.7%.

 

20



 

 

1

Names of Reporting Persons
Bart Henderson

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
30,468(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
30,468(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
30,468(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 4.7%.

 

21



 

 

1

Names of Reporting Persons
Board of Trustees of the University of Arkansas

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
17,333(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
17,333(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,333(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
OO – Board of Trustees

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 2.7%.

 

22



 

 

1

Names of Reporting Persons
Benjamin C. Lane

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
8,125(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
8,125(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
8,125(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 1.3%.

 

23



 

 

1

Names of Reporting Persons
Ruff Trust, F. Bronson Van Wyck, Trustee

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
5,487(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
5,487(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
5,487(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
OO - Trust

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.9%.

 

24



 

 

1

Names of Reporting Persons
H2 Enterprises, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
WC

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
5,124(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
5,124(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
5,124(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
OO – Limited Liability Company

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.8%.

 

25



 

 

1

Names of Reporting Persons
Stavroula Kousteni PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Greece

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
421(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
421(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
421(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

26



 

 

1

Names of Reporting Persons
Robert L. Jilka PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
572(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
572(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
572(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

27



 

 

1

Names of Reporting Persons
Robert S. Weinstein MD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
421(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
421(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
421(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

28



 

 

1

Names of Reporting Persons
Teresita M. Bellido PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
234(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
234(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
234(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)     The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

29



 

 

1

Names of Reporting Persons
Dotty Paquin

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
891(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
891(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
891(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

30



 

 

1

Names of Reporting Persons
Thomas E. Sparks Jr.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
883(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
883(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
883(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

31



 

 

1

Names of Reporting Persons
Samuel Ho

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Canada

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
833(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
833(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
833(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

32



 

 

1

Names of Reporting Persons
Charles O’Brien PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
140(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
140(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
140(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

33



 

 

1

Names of Reporting Persons
Alwyn Michael Parfitt MD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United Kingdom

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
280(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
280(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
280(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

34



 

 

1

Names of Reporting Persons
Barnett Pitzele

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
266(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
266(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
266(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

35



 

 

1

Names of Reporting Persons
Benita S. Katzenellenbogen PhD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
187(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
187(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
187(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

36



 

 

1

Names of Reporting Persons
Kelly Colbourn

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
102(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
102(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
102(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

37



 

 

1

Names of Reporting Persons
Socrates E. Papapoulos MD

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Netherlands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
93(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
93(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
93(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

38



 

 

1

Names of Reporting Persons
Tonya D. Goss

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
66(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
66(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
66(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

 

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

39



 

 

1

Names of Reporting Persons
The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Arkansas, United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
46(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
46(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
46(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)          The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.0%.

 

40



 

 

1

Names of Reporting Persons
Maysoun Shomali

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
2,383(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
2,383(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
2,383(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)          The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.4%.

 

41



 

 

1

Names of Reporting Persons
Jonathan Guerriero

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
14,833(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
14,833(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
14,833(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)          Includes 12,333 options to purchase Common Stock anticipated to be exercisable within 60 days after the date of this filing.

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 2.3%.

 

42



 

 

1

Names of Reporting Persons
E. Kelly Sullivan

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
937(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
937(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
937(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.0%(1)

 

 

14

Type of Reporting Person
IN

 


(1)          The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 0.1%.

 

43



 

 

1

Names of Reporting Persons
Cecil Richard Lyttle

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Canada

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
590,637(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
590,637(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
590,637(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.3%(1)

 

 

14

Type of Reporting Person
IN

 


(1)          Includes 523,971 options to purchase Common Stock anticipated to be exercisable within 60 days after the date of this filing.

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 50.5%.

 

44



 

 

1

Names of Reporting Persons
Louis O’Dea

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Canada

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
193,087(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
193,087(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
193,087(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)          Includes 163,880 options to purchase Common Stock anticipated to be exercisable within 60 days after the date of this filing.

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 23.9%.

 

45



 

 

1

Names of Reporting Persons
Brian Nicholas Harvey

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
179,513(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
179,513(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
179,513(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.1%(1)

 

 

14

Type of Reporting Person
IN

 


(1)          Includes 149,513 options to purchase Common Stock anticipated to be exercisable within 60 days after the date of this filing.

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 22.6%.

 

46



 

 

1

Names of Reporting Persons
Christopher Miller

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 x

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0 shares

 

8

Shared Voting Power
63,853(1)

 

9

Sole Dispositive Power
0 shares

 

10

Shared Dispositive Power
63,853(1)

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
63,853(1)

 

 

12

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row 11
0.2%(1)

 

 

14

Type of Reporting Person
IN

 


(1)          Includes 30,498 options to purchase Common Stock anticipated to be exercisable within 60 days after the date of this filing.

 

The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in this Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of the Reporting Person’s shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D), comprised of the Reporting Persons and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaim beneficial ownership.

 

The percentage is calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Person’s voting percentage of the Issuer’s outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, excluding shares held by any of the Separately Filing Group Members (as defined below), as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 9.4%.

 

47



 

Item 1.  Security and Issuer

 

This Schedule 13D relates to the Common Stock, $.0001 par value (the “Common Stock”) of Radius Health, Inc. (the “Issuer”) having its principal executive office at 201 Broadway, 6th Floor, Cambridge, MA 02139.

 

Item 2.  Identity and Background.

 

Each of the following is hereinafter individually referred to as a “Reporting Person” and collectively as the “Reporting Persons.”  This statement is filed on behalf of:

 

Healthcare Private Equity Limited Partnership

Lloyds Banking Group plc

Scottish Widows Investment Partnership Group Limited

Waverley Healthcare Private Equity Limited

Raymond F. Schinazi

David E. Thompson Revocable Trust

Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and Margaretha Hostetler, Co-Trustees

H. Watt Gregory III

The Richman Trust Dated 2/6/83, Douglas D. Richman, Co-Trustee and Eva A. Richman, Co-Trustee

The Breining Family Trust Dated August 15, 2003

Dennis A. Carson

The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000, Jonnie K. Westbrook, Trustee

Stavros C. Manolagas

Michael Rosenblatt MD

Patricia E. Rosenblatt

Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated 6-15-05

John Thomas Potts MD

John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999

John A. Katzenellenbogen PhD

Bart Henderson

Board of Trustees of the University of Arkansas

Benjamin C. Lane

Ruff Trust, F. Bronson Van Wyck, Trustee

H2 Enterprises, LLC

Stavroula Kousteni PhD

Robert L. Jilka PhD

Robert S. Weinstein MD

Teresita M. Bellido PhD

Dotty Paquin

Thomas E. Sparks Jr.

Samuel Ho

Charles O’Brien PhD

Alwyn Michael Parfitt MD

Barnett Pitzele

Benita S. Katzenellenbogen PhD

Kelly Colbourn

Socrates E. Papapoulos MD

Tonya D. Goss

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

Maysoun Shomali

Jonathan Guerriero

E. Kelly Sullivan

Cecil Richard Lyttle

Louis O’Dea

Brian Nicholas Harvey

Christopher Miller

 

48



 

The address, the present principal occupation or employment, and the state of citizenship or organization for each of the Reporting Persons can be found on Schedule A, the contents of which are incorporated herein to this Item 2 by reference.

 

During the last five years, none of the Reporting Persons (i) have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

 

The Reporting Persons may be deemed to be members of a “group,” within the meaning of Section 13(d)(3) of the Act, comprised of the Reporting Persons and the other persons referred to on Schedule B attached to this Schedule 13D (the “Separately Filing Group Members”). It is the understanding of the Reporting Persons that the Separately Filing Group Members have filed or are filing separate Schedule 13Ds pursuant to Rule 13d-1(k)(2) under the Act. Schedule B attached to this Schedule 13D sets forth certain information concerning the Separately Filing Group Members, which information is based solely on the information contained in the Schedule 13Ds filed by the Separately Filing Group Members.

 

Item 3.  Source and Amount of Funds or Other Consideration.

 

Pursuant to an Agreement and Plan of Merger dated April 25, 2011 (the “Merger Agreement”), by and among the Issuer (under its former name of MPM Acquisition Corp.), RHI Merger Corp., a Delaware corporation and wholly owned subsidiary of the Company (“MergerCo”), and Radius Health, Inc., a Delaware corporation (the “Former Operating Company”), MergerCo merged with and into the Former Operating Company, with the Former Operating Company remaining as the surviving entity and a wholly-owned operating subsidiary of the Issuer. This transaction is referred to as the “Merger.” The Merger was effective as of May 17, 2011, upon the filing of a certificate of merger with the Delaware Secretary of State.  At the effective time of the Merger (the “Effective Time”), the legal existence of MergerCo ceased and all of the shares of the Former Operating Company’s common stock, par value $.01 per share (the “Former Operating Company Common Stock”), and shares of the Former Operating Company’s preferred stock, par value $.01 per share (the “Former Operating Company Preferred Stock”), that were outstanding immediately prior to the Merger were cancelled and each outstanding share of Former Operating Company Common Stock outstanding immediately prior to the Effective Time was automatically converted into the right to receive one share of the Issuer’s Common Stock, par value $.0001 per share (the “Common Stock”) and each outstanding share of Former Operating Company Preferred Stock outstanding immediately prior to the Effective Time was automatically converted into the right to receive one-tenth of one share of the Issuer’s Preferred Stock, par value $.0001 per share (the “Preferred Stock”) as consideration for the Merger.  Each share of the Preferred Stock is convertible into ten (10) shares of the Common Stock.

 

Following the Merger on May 17, 2011, the Issuer’s Board of Directors approved a transaction pursuant to which the Former Operating Company merged with and into the Issuer, leaving the Issuer as the surviving corporation (the “Short-Form Merger”). In connection with the Short-Form Merger, the Issuer relinquished its corporate name and assumed in its place the name “Radius Health, Inc.” The Short-Form Merger and name change became effective on May 17, 2011, upon the filing of a Certificate of Ownership and Merger with the Delaware Secretary of State.

 

On November 18, 2011, pursuant to the terms of that certain Series A-1 Convertible Preferred Stock Purchase Agreement (as amended, the “Stock Purchase Agreement”), dated as of April 25, 2011, among the Issuer and the investors referenced therein (the “Investors”), the Issuer issued an aggregate of 263,178 shares (the “Stage II Series A-1 Shares”) of its Series A-1 Convertible Preferred Stock, par value $.0001 per share (the “Series A-1 Stock”), to the Investors.  Such shares were issued in connection with the consummation of the Stage II Closing contemplated by the Stock Purchase Agreement at a purchase price of $81.42 per share resulting in aggregate proceeds to the Issuer of $21,427,952.76.  On December 14, 2011, pursuant to the terms of the Stock Purchase Agreement, the Issuer issued an aggregate of 263,180 shares (the “Stage III Series A-1 Shares” and together with the Stage II Series A-1 Shares, the “Series A-1 Shares”) of its Series A-1 Stock, to the Investors.  Such shares were issued in connection with the consummation of the Stage III Closing contemplated by the Stock Purchase Agreement at a purchase price of $81.42 per share resulting in aggregate proceeds to the Issuer of $21,428,115.6.

 

49



 

On November 18, 2011, the Reporting Persons purchased 7,603 Series A-1 Preferred Stock of the Issuer for an aggregate price of $619,036.26.  On December 14, 2011, the Reporting Persons purchased 7,605 Series A-1 Preferred Stock of the Issuer for an aggregate price of $619,199.10 (together with the purchase on November 18, 2011, the “Preferred Stock Purchases”).  The source of funds for such purchases was working capital or individual funds of each of the Reporting Persons.

 

Following the Merger, the Short-Form Merger and the Preferred Stock Purchases, and assuming the conversion of all issued and outstanding shares of preferred stock of the Issuer, each of the Reporting Persons (each a shareholder of the Former Operating Company prior to the Merger and the Short-Form Merger) owns the shares noted next to the name of each Reporting Person in Schedule C attached hereto.

 

Item 4.  Purpose of the Transaction.

 

Each of the Reporting Persons acquired the shares indicated next to the name of such Reporting Person in Schedule C for investment purposes.  Depending on market conditions, its continuing evaluation of the business and prospects of the Issuer and other factors, any or all of the Reporting Persons may dispose of or acquire additional shares of the Issuer in compliance with applicable law.

 

Except as set forth above, none of the Reporting Persons has any present plans which relate to or would result in:

 

(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;

 

(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;

 

(c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries;

 

(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;

 

(e) Any material change in the present capitalization or dividend policy of the Issuer;

 

(f) Any other material change in the Issuer’s business or corporate structure including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940;

 

(g) Changes in the Issuer’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;

 

(h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;

 

(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934; or

 

(j) Any action similar to any of those enumerated above.

 

Item 5.  Interest in Securities of the Issuer.

 

(a) Aggregate number of securities beneficially owned by each Reporting Person disclosed in Item 2: See Line 11 of the cover sheets.

 

50



 

Percent of Class:  See Line 13 of the cover sheets.  The percentages set forth on the cover sheets for each Reporting Person are calculated based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.

 

In the aggregate, the Reporting Persons disclosed in Item 2 together own 3,505,018 shares, excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Persons disclosed in Item 2 disclaim beneficial ownership.  In the aggregate, such shares, excluding for purposes of calculation shares held by any of the Separately Filing Group Members, constitute 16.4% of the Common Stock.

 

(b) Regarding the number of shares as to which such person has:

 

(i) sole power to vote or to direct the vote:

 

See Line 7 of cover sheets.

 

(ii) shared power to vote or to direct the vote:

 

See Line 8 of cover sheets.

 

(iii) sole power to dispose or to direct the disposition:

 

See Line 9 of cover sheets.

 

(iv) shared power to dispose or to direct the disposition:

 

See Line 10 of cover sheets.

 

Schedule B attached to this Schedule 13D sets forth, as of the date hereof, the number of shares owned on an as-converted basis and the percentage of shares as calculated (a) based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement (as defined in this Schedule 13D) as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately, and (b) in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act. All information with respect to the Separately Filing Group Members is based solely on the information contained in the Schedule 13Ds filed by the Separately Filing Group Members or on information provided separately to the Reporting Persons by the Issuer.

 

(c) In the past sixty days, the Reporting Persons have engaged in the following transactions in the Common Stock of the Issuer:

 

(1)  On December 8, 2011, John A. Katzenellenbogen exercised previously granted options to purchase 6,666 shares of common stock at a purchase price of $0.90.

 

(2)  On December 27, 2011, John Thomas Potts exercised previously granted options to purchase 36,052 shares of common stock at a purchase price of $0.90 and 8,394 shares of common stock at a purchase price of $1.20.

 

(3)  On December 28, 2011, Michael Rosenblatt exercised previously granted options to purchase 1,706 shares of common s tock at a purchase price of $1.20.

 

51



 

Other than the option exercises disclosed in this Item 5(c) and except as set forth in Item 3 above, none of the Reporting Persons has effected any other transaction in the Common Stock of the Issuer during the last 60 days.

 

(d) No other person is known to have the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of, shares beneficially owned by any of the Reporting Persons.

 

(e) Not Applicable.

 

Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.

 

Each of the Reporting Persons is a party to the Amended and Restated Stockholders’ Agreement dated May 17, 2011, as amended by Amendment No. 1, dated as of November 7, 2011, Amendment No. 2, dated as of November 7, 2011, and Amendment No. 3 dated as of December 15, 2011, by and among the Issuer and the stockholders party thereto, which is attached as Exhibit 10.2 to the Issuer’s Current Report on Form 8-K filed with the Securities and Exchange Commission on December 15, 2011 and incorporated by reference herein.

 

Item 7. Material to be Filed as Exhibits.

 

 

Exhibit
Number

 

Description

 

 

 

1

 

Joint Filing Agreement, dated January 27, 2012, by and among the Reporting Persons.

 

 

 

2

 

Agreement and Plan of Merger, dated April 25, 2011*

 

 

 

3

 

Amended and Restated Stockholders’ Agreement dated May 17, 2011, as amended by Amendment No. 1, dated as of November 7, 2011, Amendment No. 2, dated as of November 7, 2011, and Amendment No. 3 dated as of December 15, 2011, by and among the Issuer and the stockholders party thereto**

 


*   Incorporated by reference from the Issuer’s Current Report on Form 8-K dated April 25, 2011 and filed with the Securities and Exchange Commission on April 29, 2011.

 

** Incorporated by reference from the Issuer’s Current Report on Form 8-K dated December 9, 2011 and filed with the Securities and Exchange Commission on December 15, 2011).

 

52



 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated:  January 27, 2012

 

 

 

HEALTHCARE PRIVATE EQUITY LIMITED PARTNERSHIP

 

By: Waverley Healthcare Private Equity Limited,

 

 

its general partner

 

 

 

 

 

By:

/s/ Archie Struthers

 

 

 

Name:

Archie Struthers

 

 

 

Title:

Director

 

Signature Page to Schedule 13D

 



 

 

Lloyds Banking Group plc

 

 

 

 

By:

/s/ Robert Moorhouse

 

 

 

Name:

Robert Moorhouse

 

 

 

Title:

Head of Operations, Operations Group Secretariat

 

Signature Page to Schedule 13D

 



 

 

Scottish Widows Investment Partnership Group Limited

 

 

 

 

By:

/s/ Tony Owens

 

 

 

Name:

Tony Owens

 

 

 

Title:

Director of Operations and Strategy

 

Signature Page to Schedule 13D

 



 

 

Waverly Healthcare Private Equity Limited

 

 

 

 

By:

/s/ Tony Owens

 

 

 

Name:

Tony Owens

 

 

 

Title:

Director of Operations and Strategy

 

Signature Page to Schedule 13D

 



 

 

/s/ Raymond F. Schinazi

 

Raymond F. Schinazi

 

Signature Page to Schedule 13D

 



 

 

David E. Thompson Revocable Trust

 

 

 

 

By:

/s/ David E. Thompson, Trustee

 

 

 

Name:

David E. Thompson

 

 

 

Title:

Trustee

 

Signature Page to Schedule 13D

 



 

 

Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and

 

 

Margaretha Hostetler, Co-Trustees

 

 

 

 

 

By:

/s/ Karl Y. Hostetler

 

 

 

Name:

Karl Y. Hostetler

 

 

 

Title:

Co-Trustee

 

 

 

 

 

 

By:

/s/ Margaretha Hostetler

 

 

 

Name:

Margaretha Hostetler

 

 

 

Title:

Co-Trustee

 

Signature Page to Schedule 13D

 



 

 

/s/ H. Watt Gregory III

 

H. Watt Gregory III

 

Signature Page to Schedule 13D

 



 

 

The Richman Trust Dated 2/6/83,

 

 

Douglas D. Richman, Co-Trustee and

 

 

Eva A. Richman, Co-Trustee

 

 

 

 

 

By:

/s/ Douglas D. Richman

 

 

 

Name:

Douglas D. Richman

 

 

 

Title:

Co-Trustee

 

 

 

 

 

 

By:

/s/ Eva A. Richman

 

 

 

Name:

Eva A. Richman

 

 

 

Title:

Co-Trustee

 

Signature Page to Schedule 13D

 



 

 

The Breining Family Trust Dated August 15, 2003

 

 

 

 

By:

/s/ Clifford A. Breining

 

 

 

Name:

Clifford A. Breining

 

 

 

Title:

Trustee

 

Signature Page to Schedule 13D

 



 

 

/s/ Dennis A. Carson

 

Dennis A. Carson

 

Signature Page to Schedule 13D

 



 

 

The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000,

 

 

Jonnie K. Westbrook, Trustee

 

 

 

 

By:

/s/ Jonnie K. Westbrook

 

 

 

Name:

Jonnie K. Westbrook

 

 

 

Title:

Trustee

 

Signature Page to Schedule 13D

 



 

 

/s/ Stavros C. Manolagas

 

Stavros C. Manolagas

 

Signature Page to Schedule 13D

 



 

 

/s/ Michael Rosenblatt MD

 

Michael Rosenblatt MD

 

Signature Page to Schedule 13D

 



 

 

/s/ Patricia E. Rosenblatt

 

Patricia E. Rosenblatt

 

Signature Page to Schedule 13D

 



 

 

Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for

 

 

Stephan K. Potts dated 6-15-05

 

 

 

 

By:

/s/ John T. Potts, Jr. M.D.

 

 

 

Name:

John T. Potts, Jr. M.D.

 

 

 

Title:

Director of Research & Physician-in-Chief Emeritus, Massachusetts General Hospital

 

Signature Page to Schedule 13D

 



 

 

/s/ John Thomas Potts MD

 

John Thomas Potts MD

 

Signature Page to Schedule 13D

 



 

 

John A. Katzenellenbogen Trust Under Agreement

 

 

Dated August 2, 1999

 

 

 

 

By:

/s/ John A. Katzenellenbogen

 

 

 

Name:

John A. Katzenellenbogen

 

 

 

Title:

Trustee

 

Signature Page to Schedule 13D

 



 

 

/s/ John A. Katzenellenbogen PhD

 

John A. Katzenellenbogen PhD

 

Signature Page to Schedule 13D

 



 

 

/s/ Bart Henderson

 

Bart Henderson

 

Signature Page to Schedule 13D

 


 


 

 

BOARD OF TRUSTEES OF THE UNIVERSITY OF ARKANSAS

 

 

 

 

By:

/s/ Michael G. Douglas, PhD

 

 

Name:

Michael G. Douglas, PhD

 

 

Title:

Director, UAMS BioVentures

 

Signature Page to Schedule 13D

 



 

 

/s/ Benjamin C. Lane

 

Benjamin C. Lane

 

Signature Page to Schedule 13D

 



 

 

Ruff Trust, F. Bronson Van Wyck, Trustee

 

 

 

 

By:

/s/ F. Bronson Van Wyck

 

 

Name:

F. Bronson Van Wyck

 

 

Title:

Trustee

 

Signature Page to Schedule 13D

 



 

 

H2 Enterprises, LLC

 

 

 

 

By:

/s/ H. Watt Gregory, III

 

 

Name:

H. Watt Gregory, III

 

 

Title:

Managing Member

 

Signature Page to Schedule 13D

 



 

 

/s/ Stavroula Kousteni PhD

 

Stavroula Kousteni PhD

 

Signature Page to Schedule 13D

 



 

 

/s/ Robert L. Jilka PhD

 

Robert L. Jilka PhD

 

Signature Page to Schedule 13D

 



 

 

/s/ Robert S. Weinstein MD

 

Robert S. Weinstein MD

 

Signature Page to Schedule 13D

 



 

 

/s/ Teresita M. Bellido PhD

 

Teresita M. Bellido PhD

 

Signature Page to Schedule 13D

 



 

 

/s/ Dotty Paquin

 

Dotty Paquin

 

Signature Page to Schedule 13D

 



 

 

/s/ Thomas E. Sparks Jr.

 

Thomas E. Sparks Jr.

 

Signature Page to Schedule 13D

 



 

 

/s/ Samuel Ho

 

Samuel Ho

 

Signature Page to Schedule 13D

 



 

 

/s/ Charles O’Brien PhD

 

Charles O’Brien PhD

 

Signature Page to Schedule 13D

 



 

 

/s/ Alwyn Michael Parfitt MD

 

Alwyn Michael Parfitt MD

 

Signature Page to Schedule 13D

 



 

 

/s/ Barnett Pitzele

 

Barnett Pitzele

 

Signature Page to Schedule 13D

 



 

 

/s/ Benita S. Katzenellenbogen PhD

 

Benita S. Katzenellenbogen PhD

 

Signature Page to Schedule 13D

 



 

 

/s/ Kelly Colbourn

 

Kelly Colbourn

 

Signature Page to Schedule 13D

 



 

 

/s/ Socrates E. Papapoulos MD

 

Socrates E. Papapoulos MD

 

Signature Page to Schedule 13D

 



 

 

/s/ Tonya D. Goss

 

Tonya D. Goss

 

Signature Page to Schedule 13D

 



 

 

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

 

 

 

 

By:

/s/ Kent C. Westbrook, Trustee

 

 

Name:

Kent C. Westbrook

 

 

Title:

Trustee

 

Signature Page to Schedule 13D

 



 

 

/s/ Maysoun Shomali

 

Maysoun Shomali

 

Signature Page to Schedule 13D

 



 

 

/s/ Jonathan Guerriero

 

Jonathan Guerriero

 

Signature Page to Schedule 13D

 



 

 

/s/ E. Kelly Sullivan

 

E. Kelly Sullivan

 

Signature Page to Schedule 13D

 



 

 

/s/ Cecil Richard Lyttle

 

Cecil Richard Lyttle

 

Signature Page to Schedule 13D

 



 

 

/s/ Louis O’Dea

 

Louis O’Dea

 

Signature Page to Schedule 13D

 



 

 

/s/ Brian Nicholas Harvey

 

Brian Nicholas Harvey

 

Signature Page to Schedule 13D

 



 

 

/s/ Christopher Miller

 

Christopher Miller

 

Signature Page to Schedule 13D

 


EX-1 2 a12-3548_1ex1.htm EX-1

Exhibit 1

 

JOINT FILING AGREEMENT

 

Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned agree that the Statement on Schedule 13D, and any subsequent amendments thereto, to which this exhibit is attached is filed on behalf of each of them in the capacities set forth below.

 

IN WITNESS WHEREOF, the undersigned hereby execute this Joint Filing Agreement as of the 27th day of January, 2012.

 

 

 

HEALTHCARE PRIVATE EQUITY LIMITED PARTNERSHIP

 

By: Waverley Healthcare Private Equity Limited,

 

 

its general partner

 

 

 

 

 

By:

/s/ Archie Struthers

 

 

 

Name:

Archie Struthers

 

 

 

Title:

Director

 

Signature Page to Joint Filing Agreement

 



 

 

Lloyds Banking Group plc

 

 

 

 

By:

/s/ Robert Moorhouse

 

 

 

Name:

Robert Moorhouse

 

 

 

Title:

Head of Operations, Operations Group Secretariat

 

Signature Page to Joint Filing Agreement

 



 

 

Scottish Widows Investment Partnership Group Limited

 

 

 

 

By:

/s/ Tony Owens

 

 

 

Name:

Tony Owens

 

 

 

Title:

Director of Operations and Strategy

 

Signature Page to Joint Filing Agreement

 



 

 

Waverly Healthcare Private Equity Limited

 

 

 

 

By:

/s/ Tony Owens

 

 

 

Name:

Tony Owens

 

 

 

Title:

Director of Operations and Strategy

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Raymond F. Schinazi

 

Raymond F. Schinazi

 

Signature Page to Joint Filing Agreement

 



 

 

David E. Thompson Revocable Trust

 

 

 

 

By:

/s/ David E. Thompson, Trustee

 

 

 

Name:

David E. Thompson

 

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and

 

 

Margaretha Hostetler, Co-Trustees

 

 

 

 

 

By:

/s/ Karl Y. Hostetler

 

 

 

Name:

Karl Y. Hostetler

 

 

 

Title:

Co-Trustee

 

 

 

 

 

 

By:

/s/ Margaretha Hostetler

 

 

 

Name:

Margaretha Hostetler

 

 

 

Title:

Co-Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ H. Watt Gregory III

 

H. Watt Gregory III

 

Signature Page to Joint Filing Agreement

 



 

 

The Richman Trust Dated 2/6/83,

 

 

Douglas D. Richman, Co-Trustee and

 

 

Eva A. Richman, Co-Trustee

 

 

 

 

 

By:

/s/ Douglas D. Richman

 

 

 

Name:

Douglas D. Richman

 

 

 

Title:

Co-Trustee

 

 

 

 

 

 

By:

/s/ Eva A. Richman

 

 

 

Name:

Eva A. Richman

 

 

 

Title:

Co-Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

The Breining Family Trust Dated August 15, 2003

 

 

 

 

By:

/s/ Clifford A. Breining

 

 

 

Name:

Clifford A. Breining

 

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 


 


 

 

/s/ Dennis A. Carson

 

Dennis A. Carson

 

Signature Page to Joint Filing Agreement

 



 

 

The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000,

 

 

Jonnie K. Westbrook, Trustee

 

 

 

 

By:

/s/ Jonnie K. Westbrook

 

 

 

Name:

Jonnie K. Westbrook

 

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Stavros C. Manolagas

 

Stavros C. Manolagas

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Michael Rosenblatt MD

 

Michael Rosenblatt MD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Patricia E. Rosenblatt

 

Patricia E. Rosenblatt

 

Signature Page to Joint Filing Agreement

 



 

 

Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for

 

 

Stephan K. Potts dated 6-15-05

 

 

 

 

By:

/s/ John T. Potts, Jr. M.D.

 

 

 

Name:

John T. Potts, Jr. M.D.

 

 

 

Title:

Director of Research & Physician-in-Chief Emeritus, Massachusetts General Hospital

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ John Thomas Potts MD

 

John Thomas Potts MD

 

Signature Page to Joint Filing Agreement

 



 

 

John A. Katzenellenbogen Trust Under Agreement

 

 

Dated August 2, 1999

 

 

 

 

By:

/s/ John A. Katzenellenbogen

 

 

 

Name:

John A. Katzenellenbogen

 

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ John A. Katzenellenbogen PhD

 

John A. Katzenellenbogen PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Bart Henderson

 

Bart Henderson

 

Signature Page to Joint Filing Agreement

 


 


 

 

BOARD OF TRUSTEES OF THE UNIVERSITY OF ARKANSAS

 

 

 

 

By:

/s/ Michael G. Douglas, PhD

 

 

Name:

Michael G. Douglas, PhD

 

 

Title:

Director, UAMS BioVentures

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Benjamin C. Lane

 

Benjamin C. Lane

 

Signature Page to Joint Filing Agreement

 



 

 

Ruff Trust, F. Bronson Van Wyck, Trustee

 

 

 

 

By:

/s/ F. Bronson Van Wyck

 

 

Name:

F. Bronson Van Wyck

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

H2 Enterprises, LLC

 

 

 

 

By:

/s/ H. Watt Gregory, III

 

 

Name:

H. Watt Gregory, III

 

 

Title:

Managing Member

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Stavroula Kousteni PhD

 

Stavroula Kousteni PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Robert L. Jilka PhD

 

Robert L. Jilka PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Robert S. Weinstein MD

 

Robert S. Weinstein MD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Teresita M. Bellido PhD

 

Teresita M. Bellido PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Dotty Paquin

 

Dotty Paquin

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Thomas E. Sparks Jr.

 

Thomas E. Sparks Jr.

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Samuel Ho

 

Samuel Ho

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Charles O’Brien PhD

 

Charles O’Brien PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Alwyn Michael Parfitt MD

 

Alwyn Michael Parfitt MD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Barnett Pitzele

 

Barnett Pitzele

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Benita S. Katzenellenbogen PhD

 

Benita S. Katzenellenbogen PhD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Kelly Colbourn

 

Kelly Colbourn

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Socrates E. Papapoulos MD

 

Socrates E. Papapoulos MD

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Tonya D. Goss

 

Tonya D. Goss

 

Signature Page to Joint Filing Agreement

 



 

 

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

 

 

 

 

By:

/s/ Kent C. Westbrook, Trustee

 

 

Name:

Kent C. Westbrook

 

 

Title:

Trustee

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Maysoun Shomali

 

Maysoun Shomali

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Jonathan Guerriero

 

Jonathan Guerriero

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ E. Kelly Sullivan

 

E. Kelly Sullivan

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Cecil Richard Lyttle

 

Cecil Richard Lyttle

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Louis O’Dea

 

Louis O’Dea

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Brian Nicholas Harvey

 

Brian Nicholas Harvey

 

Signature Page to Joint Filing Agreement

 



 

 

/s/ Christopher Miller

 

Christopher Miller

 

Signature Page to Joint Filing Agreement

 



 

Schedule A

 

Certain Information Regarding the Reporting Persons

 

NAME

 

RESIDENCE OR BUSINESS
ADDRESS

 

PRESENT PRINCIPAL
OCCUPATION OR
EMPLOYMENT

 

STATE OF
CITIZENSHIP OR
ORGANIZATION

Healthcare Private Equity Limited Partnership

 

Edinburgh One, Morrison Street

Edinburgh, EH3 8BE

United Kingdom

 

Identifying, making and realizing investments

 

SCOTLAND

Lloyds Banking Group plc

 

25 Gresham Street

London EC2V 7HM

 

Commercial Bank

 

UNITED KINGDOM

Scottish Widows Investment Partnership Group Limited

 

Edinburgh One

60 Morrison Street

Edinburgh EH3 8BE

 

Investment management

 

ENGLAND

Waverley Healthcare Private Equity Limited

 

Edinburgh One

60 Morrison Street

Edinburgh EH3 8BE

 

Identifying, making and realizing investments

 

SCOTLAND

Raymond F. Schinazi

 

1860 Montreal Road

Tucker, GA 30084

 

Professor, Emory University

Medical Research 151H

1670 Clairmont Road

Atlanta, GA 30033

 

USA

David E. Thompson Revocable Trust

 

1045 Mason Street, #501

San Francisco, CA 94108

 

Trust Fund

 

USA - INDIANA

Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and Margaretha Hostetler, Co-Trustees

 

14024 Rue St. Raphael

Del Mar, CA 92014

 

Trust Fund

 

USA - CALIFORNIA

H. Watt Gregory III

 

Suite 2000

124 West Capitol Avenue

Little Rock, AR 72201

 

Attorney - Suite 2000

124 West Capitol Avenue

Little Rock, AR 72201

 

USA

The Richman Trust Dated 2/6/83, Douglas D. Richman, Co-Trustee and Eva A. Richman, Co-Trustee

 

9551 La Jolla Farms Road

La Jolla, CA 92037

 

Trust Fund

 

USA - CALIFORNIA

The Breining Family Trust Dated August 15, 2003

 

6552 Via Dos Valles

PO Box 9540

Rancho Santa Fe, CA 92067

 

Trust Fund

 

USA - CALIFORNIA

Dennis A. Carson

 

9672 Claiborne Square

La Jolla, CA 92037

 

Professor of Medicine

University of California — San Diego

 

Moores Cancer Center

3855 Health Sciences Drive, MC 0820

La Jolla, CA 92093-0820

 

Effective 1/31/12, new address: Sanford Consortium for Regenerative Medicine

2880 Torrey Pines Scenic Drive, MC 0695

La Jolla, CA 92093-0695

 

USA

The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000, Jonnie K. Westbrook, Trustee

 

56 River Ridge Rd.

Little Rock, AR 72227

 

Trust Fund

 

USA - ARKANSAS

Stavros C. Manolagas

 

UAMS Center for Osteoporosis and Metabolic Bone Diseases

Winthrop P. Rockefeller Cancer Institute, Room 817

4301 W. Markham, Slot 587

Little Rock, AR 72205-7199

 

Professor of Medicine, Director, Division of Endocrinology and Metabolism; Director, the UAMS/VA Center for Osteoporosis and Metabolic Bone Diseases; Vice Chair for Research, Department of Internal Medicine, University of Arkansas for Medical Sciences,

4301 W. Markham, Slot 587

Little Rock, AR 72205.

 

Chief, Endocrinology Section, Central Arkansas Veterans Healthcare System

4300 West 7th Street

Little Rock, AR 72205

 

USA

Michael Rosenblatt MD

 

130 Lake Avenue

Newton, MA 02459

 

Chief Medical Officer, Merck & Co.

1 Merck Drive

Whitehouse Station, NJ 08889

 

USA

 



 

Patricia E. Rosenblatt

 

876 Beacon St. Apt. 5

Newton, MA 02459

 

Self-Employed Visual Artist

876 Beacon St. Apt. 5

Newton, MA 02459

 

USA

Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated 6-15-05

 

18 Hawthorn St.

Cambridge, MA 02138

 

Trust Fund

 

USA - MASSACHUSETTS

John Thomas Potts MD

 

18 Hawthorn St.

Cambridge, MA 02138

 

Physician

Massachusetts General Hospital

55 Fruit Street

Boston, MA 02114

 

USA

John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999

 

John A. Katzenellenbogen

704 West Pennsylvania Ave

Urbana, IL 61801

 

Trust Fund

 

USA - ILLINOIS

John A. Katzenellenbogen PhD

 

John A. Katzenellenbogen, Ph.D

Department of Chemisty (37-5)

University of Illinois

600 South Matthews Ave.

Urbana, IL 61801

 

Research Professor of Chemistry University of Illinois at Urbana-Champaign, IL

 

USA

Bart Henderson

 

48 Prentiss Lane

Belmont, MA 02478

 

Biotechnology

Rhythm Pharmaceuticals

855 Boylston St.

Boston, MA 02116

 

USA

Board of Trustees of the University of Arkansas

 

2404 North University Avenue Little Rock, AR 72207

 

Governing board of the University of Arkansas

 

USA - ARKANSAS

Benjamin C. Lane

 

1284 Deer Trail Lane Libertyville, IL 60048

 

Industrial Liaison and Lecturer

Northwestern University

633 Clark Street Evanston, IL 60208

Business Type: Non-profit Secondary Education

 

USA

Ruff Trust, F. Bronson Van Wyck, Trustee

 

2141 Highway 224 East Tukerman, AR 72473

 

Trust Fund

 

USA - ARKANSAS

H2 Enterprises, LLC

 

c/o H. Watt Gregory, III. Esq. Kutak Rock, LLP

124 West Capitol Avenue, Suite 2000

Little Rock, AR 72201

 

Investments

 

USA - ARKANSAS

Stavroula Kousteni PhD

 

58 Hillside Avenue

Glen Ridge, NJ 07028

 

Associate Professor, Departments of Medicine and Physiology

Columbia University

The Russ Berrie Medical Sciences Pavilion

Room 411

1150 Saint Nicholas Avenue

New York, NY 10032

 

GREECE

Robert L. Jilka PhD

 

14202 Clarborne Court

Little Rock, AR 72211

 

Research Scientist

Central Arkansas Veterans Healthcare System

Research 151/LR

4300 W. 7th Street

Little Rock, AR 72205

 

USA

Robert S. Weinstein MD

 

11 Chalmette

Little Rock, AR 72211

 

Physician, University of Arkansas for Medical Sciences

4301 W. Markham Street

Little Rock, AR 72205

 

USA

Teresita M. Bellido PhD

 

9302 Windrift Way

Zionsville, Indiana 46077

 

Professor of Anatomy and Cell

Biology, and Professor of Internal Medicine

Indiana University School of Medicine

635 Barnhill Drive, MS 545A,

Indianapolis, IN 46202

 

USA

Dotty Paquin

 

799 Shawsheen Street

Tewksbury, MA 01876

 

Pfizer

Vet Tech II

1 Burtt Rd.

Andover, MA 01810

 

USA

Thomas E. Sparks Jr.

 

P.O. Box 472290

San Francisco, CA 94147-2290

 

Pillsbury Winthrop Shaw

Pittman LLP

50 Fremont Street

San Francisco, CA 94105

 

USA

Samuel Ho

 

15 Hillview Ave

Holbrook, MA 02343

 

Scientist II at Novartis

250 Massachusetts Avenue

Cambridge, MA 02139, USA

 

CANADA

 



 

Charles O’Brien PhD

 

2824 Mossy Creek Drive

Little Rock, AR 72211

 

University of Arkansas for Medical Sciences

4301 W. Markham St.

Little Rock, AR 72211

 

USA

Alwyn Michael Parfitt MD

 

28 Baeza Way

Hot Springs, AR 71909

 

Retired

 

UNITED KINGDOM

Barnett Pitzele

 

7924 N. Tripp Ave.

Skokie, IL 60076

 

Consultant;

Skokie Valley Consulting Corp.

7924 N. Tripp Ave.

Skokie, IL 60076

 

USA

Benita S. Katzenellenbogen PhD

 

Department of Molecular and Integrative Physiology

University of Illinois

407 South Goodwin Ave.

Urbana, IL 61801

 

Research Professor of Physiology

University of Illinois, Teaching and Research

Board of Trustees Office

352 Henry Administration Building, MC-350

506 South Wright Street

Urbana, IL 61801, USA

 

USA

Kelly Colbourn

 

123 Oxford Street #3

Cambridge, MA 02138

 

Administrative - Harvard University

17 Oxford Street

Cambridge, MA 02138

 

USA

Socrates E. Papapoulos MD

 

Javastraat 64

2585 AR the Hague

The Netherlands

 

Professor of Medicine,

Leiden University Medical Center

Albinusdreef 2

2333 ZA Leiden

The Netherlands

 

NETHERLANDS

Tonya D. Goss

 

7790 Shannon Road

Pine Bluff, Arkansas 71603

 

Unemployed

 

USA

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

 

56 River Ridge Rd.

Little Rock, AR 72227

 

Trust Fund

 

USA - ARKANSAS

Maysoun Shomali

 

354 School Street

Watertown, MA 02472

 

Scientist, Sanofi-Aventis

270 Albany St

Cambridge MA 02139

 

USA

Jonathan Guerriero

 

20 Bazin Lane

Canton, MA 02021

 

Radius Health, Inc.

Product Development

201 Broadway, 6th Floor

Cambridge, MA 02139

 

USA

E. Kelly Sullivan

 

23 Belknap Street

Arlington, MA 02474

 

Principal Scientist

N-of-One Therapeutics

400 5th Avenue, Suite 200

Waltham, MA 02451-8706

 

USA

Cecil Richard Lyttle

 

201 Broadway, 6th Floor

Cambridge, MA 02139

 

Radius Health, Inc.

Interim Chief Scientific Officer

201 Broadway, 6th Floor

Cambridge, MA 02139

 

CANADA

Louis O’Dea

 

566 Main St.

Hingham, MA 02043

 

Physician

Self-employed

 

CANADA

Brian Nicholas Harvey

 

201 Broadway, Sixth Floor

Cambridge, MA 02139

 

Radius Health, Inc.

Chief Financial Officer

201 Broadway, 6th Floor

Cambridge, MA 02139

 

USA

Christopher Miller

 

1685 Milburne

Lake Forest, IL 60045

 

Intellectual Property Strategist,

Abbott Labs

200 Abbott Park Road

Abbott Park, IL 60064

 

USA

 



 

Schedule B

 

Certain Information Regarding the Separately Filing Group Members(1)

 

Separately Filing Group Member(2)

 

Outstanding
Shares
(as converted)

 

Voting % of
Outstanding Shares

 

Beneficial
Ownership

 

MPM Bioventures III, L.P.

 

302,750

 

1.4

%

31.9

%

MPM Bioventures III-QP, L.P.

 

4,502,870

 

21.0

%

87.5

%

MPM Bioventures III GMBH & Co. Beteiligungs KG

 

380,540

 

1.8

%

37.1

%

MPM Bioventures III Parallel Fund, L.P.

 

135,960

 

0.6

%

17.4

%

MPM Asset Management Investors 2003 BVIII LLC

 

87,160

 

0.4

%

11.9

%

MPM Bio IV NVS Strategic Fund, L.P.

 

2,987,790

 

14.0

%

82.2

%

The Wellcome Trust Limited, as Trustee of the Wellcome Trust

 

2,868,910

 

13.4

%

81.6

%

HealthCare Ventures VII, L.P.

 

2,292,053

 

10.7

%

80.3

%

OBP IV — Holdings LLC

 

1,837,693

 

8.6

%

74.5

%

mRNA II - Holdings LLC

 

18,411

 

0.1

%

2.8

%

Nordic Bioscience Clinical Development VII A/A

 

64,430

 

0.3

%

9.1

%

BB Biotech Growth N.V.

 

1,228,200

 

5.7

%

65.6

%

Ipsen Pharma SAS

 

173,260

 

0.8

%

21.2

%

Brookside Capital Partners Fund, L.P.

 

1,228,200

 

5.7

%

65.6

%

Julianne Glowacki PhD

 

93

 

0.0

%

0.0

%

 


(1)  All references to the number of shares outstanding are based upon 21,400,279 shares of outstanding Common Stock being deemed issued and outstanding, which consists of: (i) 645,399 shares of Common Stock that are issued and outstanding and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of all shares of Preferred Stock outstanding as of as of December 14, 2011 following completion of the Stage III Closing contemplated by the Stock Purchase Agreement as disclosed in the Issuer’s Information Statement on Schedule 14C, filed with the SEC on December 27, 2011, and as disclosed to the Reporting Persons by the Issuer separately.  Because each stockholder of the Issuer is a party to certain agreements with the other stockholders of the Issuer, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock, each stockholder of the Issuer may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Act (as defined in this Schedule 13D).  Shares listed as beneficially owned in this table exclude shares held by any Reporting Person or by any of the other Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.

 

(2) See the Schedule 13D filed, or that the Reporting Persons anticipate will be filed, separately by each Separately Filing Group Member, which includes, or will include, information regarding the filer’s jurisdiction of organization, principal business, and address of principal office.

 



 

Schedule C

 

Share Ownership of the Reporting Persons

 

NAME

 

SHARE OWNERSHIP

Healthcare Private Equity Limited Partnership

 

765,020 shares of Common Stock, which includes 765,020 shares of Common Stock issuable to this Reporting Person upon the conversion of 20,416 shares of Issuer Series A-1 Preferred Stock and 56,086 shares of Issuer Series A-2 Preferred Stock

Lloyds Banking Group plc

 

765,020 shares of Common Stock, which includes 765,020 shares owned by Healthcare Private Equity Limited Partnership

Scottish Widows Investment Partnership Group Limited

 

765,020 shares of Common Stock, which includes 765,020 shares owned by Healthcare Private Equity Limited Partnership

Waverley Healthcare Private Equity Limited

 

765,020 shares of Common Stock, which includes 765,020 shares owned by Healthcare Private Equity Limited Partnership

Raymond F. Schinazi

 

34,250 shares of Common Stock, which includes 34,250 shares of Common Stock issuable to this Reporting Person upon the conversion of 1,487 shares of Issuer Series A-1 Preferred Stock, 1,524 shares of Issuer Series A-2 Preferred Stock, and 414 shares of Issuer Series A-4 Preferred Stock

David E. Thompson Revocable Trust

 

22,070 shares of Common Stock, which includes 22,070 shares of Common Stock issuable to this Reporting Person upon the conversion of 588 shares of Issuer Series A-1 Preferred Stock and 1,619 shares of Issuer Series A-4 Preferred Stock

Hostetler Family Trust UTD 3/18/92, Karl Y. Hostetler and Margaretha Hostetler, Co-Trustees

 

8,195 shares of Common Stock

H. Watt Gregory III

 

20,044 shares of Common Stock, which includes 5,124 shares of Common Stock owned by H2 Enterprises, LLC and 14,920 shares of Common Stock issuable to this Reporting Person upon the conversion of 397 shares of Issuer Series A-1 Preferred Stock and 1,095 shares of Issuer Series A-4 Preferred Stock

The Richman Trust Dated 2/6/83, Douglas D. Richman, Co-Trustee and Eva A. Richman, Co-Trustee

 

7,300 shares of Common Stock, which includes 7,300 shares of Common Stock issuable to this Reporting Person upon the conversion of 195 shares of Issuer Series A-1 Preferred Stock and 535 shares of Issuer Series A-4 Preferred Stock

The Breining Family Trust Dated August 15, 2003

 

4,550 shares of Common Stock, which includes 4,550 shares of Common Stock issuable to this Reporting Person upon the conversion of 120 shares of Issuer Series A-1 Preferred Stock and 335 shares of Issuer Series A-4 Preferred Stock

Dennis A. Carson

 

533 shares of Common Stock

The Jonnie K. Westbrook Revocable Trust, Dated March 17, 2000, Jonnie K. Westbrook, Trustee

 

363 shares of Common Stock

Stavros C. Manolagas

 

91,040 shares of Common Stock

Michael Rosenblatt MD

 

43,915 shares of Common Stock, which includes 852 options exercisable within 60 days

Patricia E. Rosenblatt

 

41,357 shares of Common Stock

Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated
6-15-05

 

20,291 shares of Common Stock

John Thomas Potts MD

 

69,932 shares of Common Stock, which includes 20,291 shares owned by the Dr. John Potts, Jr and Susanne K. Potts Irrevocable Trust for Stephan K. Potts dated 6-15-05 and held in trust by John Thomas Potts MD and 699 options exercisable within 60 days

John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999

 

40,438 shares of Common Stock

John A. Katzenellenbogen PhD

 

56,065 shares of Common Stock, which includes 40,438 shares owned by the John A. Katzenellenbogen Trust Under Agreement Dated August 2, 1999 and held in trust by John A. Katzenellenbogen PhD.

Bart Henderson

 

30,468 shares of Common Stock

Board of Trustees of the University of Arkansas

 

17,333 shares of Common Stock

Benjamin C. Lane

 

8,125 shares of Common Stock

Ruff Trust, F. Bronson Van Wyck, Trustee

 

5,487 shares of Common Stock

H2 Enterprises, LLC

 

5,124 shares of Common Stock

 



 

Stavroula Kousteni PhD

 

421 shares of Common Stock

Robert L. Jilka PhD

 

572 shares of Common Stock

Robert S. Weinstein MD

 

421 shares of Common Stock

Teresita M. Bellido PhD

 

234 shares of Common Stock

Dotty Paquin

 

891 shares of Common Stock

Thomas E. Sparks Jr.

 

883 shares of Common Stock

Samuel Ho

 

833 shares of Common Stock

Charles O’Brien PhD

 

140 shares of Common Stock

Alwyn Michael Parfitt MD

 

280 shares of Common Stock

Barnett Pitzele

 

266 shares of Common Stock

Benita S. Katzenellenbogen PhD

 

187 shares of Common Stock

Kelly Colbourn

 

102 shares of Common Stock

Socrates E. Papapoulos MD

 

93 shares of Common Stock

Tonya D. Goss

 

66 shares of Common Stock

The Kent C. Westbrook Revocable Trust, Dated March 17, 2000, Kent C. Westbrook, Trustee

 

46 shares of Common Stock

Maysoun Shomali

 

2,383 shares of Common Stock

Jonathan Guerriero

 

14,833 shares of Common Stock, which includes 12,333 options exercisable within 60 days

E. Kelly Sullivan

 

937 shares of Common Stock

Cecil Richard Lyttle

 

590,637 shares of Common Stock, which includes 523,971 options exercisable within 60 days

Louis O’Dea

 

193,087 shares of Common Stock, which includes 163,880 options exercisable within 60 days

Brian Nicholas Harvey

 

179,513 shares of Common Stock, which includes 149,513 options exercisable within 60 days

Christopher Miller

 

63,853 shares of Common Stock, which includes 30,498 options exercisable within 60 days