0001181431-14-031047.txt : 20140904 0001181431-14-031047.hdr.sgml : 20140904 20140904155202 ACCESSION NUMBER: 0001181431-14-031047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140902 FILED AS OF DATE: 20140904 DATE AS OF CHANGE: 20140904 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IGI LABORATORIES, INC CENTRAL INDEX KEY: 0000352998 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 010355758 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 105 LINCOLN AVENUE CITY: BUENA STATE: NJ ZIP: 08310 BUSINESS PHONE: 6096971441 MAIL ADDRESS: STREET 1: 105 LINCOLN AVENUE CITY: BUENA STATE: NJ ZIP: 08310 FORMER COMPANY: FORMER CONFORMED NAME: IGI INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: IMMUNOGENETICS INC DATE OF NAME CHANGE: 19870814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MORRIS BENJAMIN T CENTRAL INDEX KEY: 0001214494 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08568 FILM NUMBER: 141083194 MAIL ADDRESS: STREET 1: C/O SANDERS HARRIS MORRIS INC STREET 2: 600 TRAVIS #3100 CITY: HOUSTON STATE: TX ZIP: 77002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SANDERS DON A CENTRAL INDEX KEY: 0000904778 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08568 FILM NUMBER: 141083195 MAIL ADDRESS: STREET 1: 3100 TEXAS COMMERCE TOWER CITY: HOUSTON STATE: TX ZIP: 77002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOF PARTNERS LLC CENTRAL INDEX KEY: 0001280952 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08568 FILM NUMBER: 141083196 MAIL ADDRESS: STREET 1: 126 E 56TH ST 28TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GALE JAMES C CENTRAL INDEX KEY: 0001184312 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08568 FILM NUMBER: 141083197 MAIL ADDRESS: STREET 1: C/O SANDERS MORRIS HARRIS INC STREET 2: 126 E. 56TH ST 24TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LIFE SCIENCES OPPORTUNITIES FUND INSTITTUTIONAL II LP CENTRAL INDEX KEY: 0001269417 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08568 FILM NUMBER: 141083198 BUSINESS ADDRESS: STREET 1: 126 EAST 56TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-419-3900 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LIFE SCIENCES OPPORTUNITIES FUND II LP CENTRAL INDEX KEY: 0001269415 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08568 FILM NUMBER: 141083199 BUSINESS ADDRESS: STREET 1: 126 EAST 56TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-419-3900 MAIL ADDRESS: STREET 1: 126 E 56TH STREET STREET 2: 28TH FL CITY: NEW YORK STATE: NY ZIP: 10022 4 1 rrd415493.xml X0306 4 2014-09-02 0 0000352998 IGI LABORATORIES, INC IG 0001269415 LIFE SCIENCES OPPORTUNITIES FUND II LP CARNEGIE HALL TOWER 152 WEST 57TH STREET, 19TH FLOOR NEW YORK NY 10019 0 0 1 0 0001269417 LIFE SCIENCES OPPORTUNITIES FUND INSTITTUTIONAL II LP CARNEGIE HALL TOWERS 152 WEST 57TH STREET, 19TH FLOOR NEW YORK NY 10019 0 0 1 0 0001184312 GALE JAMES C 152 WEST 57TH STREET, 19TH FLOOR NEW YORK NY 10022 1 0 0 0 0001280952 LOF PARTNERS LLC 126 EAST 56TH STREET, 24TH FLOOR NEW YORK NY 10022 0 0 0 1 See Remarks 0000904778 SANDERS DON A 600 TRAVIS, SUITE 5800 HOUSTON TX 77002 0 0 0 1 See Remarks 0001214494 MORRIS BENJAMIN T 600 TRAVIS, SUITE 5800 HOUSTON TX 77002 0 0 0 1 See Remarks Common Stock 2014-09-02 4 S 0 303500 6.45 D 1798553 D Common Stock 2014-09-02 4 S 0 1696500 6.45 D 10053308 D These securities are owned directly by Life Sciences Opportunities Fund II, L.P. and indirectly by Signet Healthcare Partners, LLC ("General Partner"), the general partner of Life Sciences Opportunities Fund II, L.P., James C. Gale, the chief investment officer, a manager, and a member of the General Partner, SMW Investments I, LLC ("SMW"), the controlling member of the General Partner, and Don A. Sanders, Ben T. Morris, and Donald V. Weir, the managing members of SMW. The General Partner, Mr. Gale, SMW, Mr. Sanders, Mr. Morris, and Mr. Weir disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. These securities are owned directly by Life Sciences Opportunities Fund (Institutional) II, L.P. and indirectly by the General Partner, Mr. Gale, the chief investment officer, a manager, and a member of the General Partner, SMW, the controlling member of the General Partner, and Mr. Sanders, Mr. Morris, and Mr. Weir, the managing members of SMW. The General Partner, Mr. Gale, SMW, Mr. Sanders, Mr. Morris, and Mr. Weir disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This is a joint filing by Life Sciences Opportunities Fund (Institutional) II, L.P., Life Sciences Opportunities Fund II, L.P., the General Partner, Mr. Gale, SMW, Mr. Sanders, Mr. Morris, and Mr. Weir. Life Sciences Opportunities Fund II, L.P. is the designated filer for Life Sciences Opportunities Fund (Institutional) II, L.P., the General Partner, Mr. Gale, SMW, Mr. Sanders, Mr. Morris, and Mr. Weir. The address of each filer is the same as the designated filer except SMW, Mr. Sanders, Mr. Morris, and Mr. Weir, which is 600 Travis, Suite 5900, Houston, Texas 77002. Mr. Gale currently serves on the IGI Laboratories, Inc. board of directors. Life Sciences Opportunities Fund II, L.P., By: Signet Healthcare Partners, LLC, By: /s/ James C. Gale, Manager 2014-09-04 Life Sciences Opportunities Fund (Institutional) II, L.P., By. Signet Healthcare Partners, LLC, By: /s/ James C. Gale, Manager 2014-09-04 Signet Healthcare Partners, LLC, By: /s/ James C. Gale, Manager 2014-09-04 SMW Investments I, LLC, By: Ben T. Morris, Managing Member 2014-09-04 James C. Gale 2014-09-04 Don A. Sanders 2014-09-04 Ben T. Morris 2014-09-04 Donald V. Weir 2014-09-04