0001140361-12-003616.txt : 20120125 0001140361-12-003616.hdr.sgml : 20120125 20120125154438 ACCESSION NUMBER: 0001140361-12-003616 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20120125 DATE AS OF CHANGE: 20120125 GROUP MEMBERS: INTREXON CORP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ZIOPHARM ONCOLOGY INC CENTRAL INDEX KEY: 0001107421 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-SPECIALTY OUTPATIENT FACILITIES, NEC [8093] IRS NUMBER: 841475642 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79364 FILM NUMBER: 12544801 BUSINESS ADDRESS: STREET 1: 1180 AVENUE OF THE AMERICA STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 646-214-0700 MAIL ADDRESS: STREET 1: 1180 AVENUE OF THE AMERICA STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: EASYWEB INC DATE OF NAME CHANGE: 20010213 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KIRK RANDAL J CENTRAL INDEX KEY: 0001091823 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 1881 GROVE AVENUE CITY: RADFORD STATE: VA ZIP: 24141 SC 13D/A 1 formsc13da3.htm RANDAL J KIRK SC13DA 1-20-2012 (ZIOPHARM ONCOLOGY, INC) formsc13da3.htm


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC  20549
 


SCHEDULE 13D
(Amendment No. 3)*
Under the Securities Exchange Act of 1934

ZIOPHARM ONCOLOGY, INC.

(Name of Issuer)

Common Stock, par value $0.001 per share

(Title of Class of Securities)

98973P101

(CUSIP Number)

Third Security, LLC
1881 Grove Avenue
Radford, Virginia 24141
Attention: Marcus E. Smith, Esq.
(540) 633-7900

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

Copy to:
Intrexon Corporation
Attention: Legal
20358 Seneca Meadows Parkway
Germantown, Maryland 20876
(301) 556-9809 

 
January 20, 2012

(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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), 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.
 
* 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).
 


 
 

 
 
CUSIP No. 89365K206 Page 2 of 7
 
1
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
 
Randal J. Kirk
 
 
2
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
(a) o
(b) x
 
3
 
SEC USE ONLY
 
 
4
 
SOURCE OF FUNDS
 
PF
 
5
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)                                                                                                         
o
6
 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
United States
 
 
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
   
7
SOLE VOTING POWER
   
 
50,911
   
8
SHARED VOTING POWER
   
 
11,242,698
   
9
SOLE DISPOSITIVE POWER
   
 
50,911
   
10
SHARED DISPOSITIVE POWER
11,242,698
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,293,609
 
12
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES                                                                                                         
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
14.5%
 
14
TYPE OF REPORTING PERSON
IN
 
 
 
 

 
 
CUSIP No. 98973P101 Page 3 of 7
 
1
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
 
Intrexon Corporation
I.R.S. IDENTIFICATION NO.: 26-0084895
 
 
2
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
(a) o
(b)x
 
3
 
SEC USE ONLY
 
 
4
 
SOURCE OF FUNDS
 
WC
 
5
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
o
6
 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Virginia
 
 
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
   
7
SOLE VOTING POWER
   
 
0
   
8
SHARED VOTING POWER
   
 
9,896,236
   
9
SOLE DISPOSITIVE POWER
   
 
0
   
10
SHARED DISPOSITIVE POWER
9,896,236
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,896,236
 
12
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES
 
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.7%
 
14
TYPE OF REPORTING PERSON
CO
 
 
 
 

 
 
CUSIP No. 98973P101 Page 4 of 7
 
This Amendment No. 3 (the “Amendment”) amends and supplements the Statement on Schedule 13D, dated January 12, 2011 and filed on January 20, 2011, as amended by Amendment No. 1 dated February 3, 2011 and filed on February 11, 2011, and Amendment No. 2 dated August 9, 2011 and filed on August 16, 2011 (the “Original Schedule 13D”), relating to the Common Stock, par value $0.001 per share (the “Common Stock”), of ZIOPHARM Oncology, Inc., a Delaware corporation (the “Company”).  Mr. Randal J. Kirk (“Mr. Kirk”) and Intrexon Corporation, a Virginia corporation (“Intrexon” and, together with Mr. Kirk, the “Reporting Persons”), are filing this Amendment to disclose the acquisition by Intrexon, an affiliate of Mr. Kirk, of 1,923,075 shares of Common Stock in a public offering.  Mr. Kirk could be deemed to have indirect beneficial ownership of the shares of Common Stock directly beneficially owned by Intrexon and Kapital Joe, LLC (“Kapital Joe”), an affiliate of Mr. Kirk that also owns shares of Common Stock disclosed herein.
 
Except as set forth below, there are no changes to the information set forth in the Original Schedule 13D.
 
 
 

 
 
CUSIP No. 98973P101 Page 5 of 7
 
Item 3.
Source and Amount of Funds or Other Consideration.
 
Item 3 of the Original Schedule 13D is hereby amended and supplemented as follows:
 
Intrexon utilized its working capital to purchase the 1,923,075 shares of Common Stock purchased in a public offering by the Company.  In addition, between August 18, 2011 and August 23, 2011, Kapital Joe utilized its working capital to purchase 499,940 shares of Common Stock through open market purchases for an aggregate purchase price of approximately $2.46 million.
 
Item 5.
Interest in Securities of the Issuer.
 
Items 5(a) and (b) of the Original Schedule 13D are hereby amended and restated to read in their entirety as follows:
 
(a) and (b) See Items 11 and 13 of the cover pages to this Statement for the aggregate number of shares and percentage of issued and outstanding shares of Common Stock of the Company owned by the Reporting Persons. The percentage ownership is calculated based on 68,451,324 shares of Common Stock issued and outstanding as of October 28, 2011, based upon the number of shares disclosed by the Company as of such date in its Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2011, plus 9,650,000 shares issued in the January 20, 2012 public stock offering and 8,334 shares of Common Stock issuable upon exercise of stock options directly owned by Mr. Kirk that are currently exercisable.
 
Reporting Person
 
Amount of Common Stock
Beneficially
Owned
   
Percent
of Class
   
Sole Power
to Vote or
Direct
the Vote
   
Shared
Power to
Vote or
Direct
the Vote
   
Sole Power to
Dispose or to
Direct the
Disposition
   
Shared Power to
Dispose or to
Direct the
Disposition
 
Randal J. Kirk
    11,293,609       14.5 %     50,911       11,242,698 (1)     50,911       11,242,698 (1)
Intrexon Corporation
    9,896,236       12.7 %           9,896,236             9,896,236  
 
 
(1)
Includes 9,896,236 shares of Common Stock held by Intrexon and 1,346,462 shares of Common Stock held by Kapital Joe.
 
Mr. Kirk could be deemed to have indirect beneficial ownership of the shares of Common Stock directly beneficially owned by Intrexon and Kapital Joe.
 
Item 5(c) of the Original Schedule 13D is hereby supplemented and amended as follows:
 
(c)          Other than the purchases disclosed herein and a restricted stock grant in December 2011 in connection with Mr. Kirk’s service on the Company’s Board of Directors, the Reporting Persons have not engaged in any transactions in shares of Common Stock since the filing of Amendment No. 2 with the Securities and Exchange Commission on August 16, 2011.
 
 
 

 
 
CUSIP No. 98973P101 Page 6 of 7
 
Item 7.
Material to be Filed as Exhibits.
 
Exhibit 1
Joint Filing Agreement, dated as of January 25, 2012, by and between Mr. Kirk and Intrexon
 
 
 

 
 
CUSIP No. 98973P101 Page 7 of 7
 
SIGNATURES
 
After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
 
Date:  January 25, 2012
   
       
    /s/ Randal J. Kirk   
   
Randal J. Kirk
 
       
    INTREXON CORPORATION  
       
    By: /s/ Randal J. Kirk  
      Randal J. Kirk  
      Chief Executive Officer  
 
 
 

 

EXHIBIT INDEX
 
Joint Filing Agreement, dated as of January 25, 2012, by and between Mr. Kirk and Intrexon
 
 

EX-1 2 ex1.htm EXHIBIT 1 ex1.htm

Exhibit 1
 
Joint Filing Agreement
 
In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of ZIOPHARM Oncology, Inc., and further agree that this Joint Filing Agreement be included as an exhibit to such joint filings. In evidence thereof, the undersigned, being duly authorized, hereby execute this agreement as of the 25th day of January, 2012.
 
  /s/ Randal J. Kirk 
 
Randal J. Kirk
   
  INTREXON CORPORATION
   
  By: /s/ Randal J. Kirk 
    Randal J. Kirk
    Chief Executive Officer