0001140361-16-091123.txt : 20161229
0001140361-16-091123.hdr.sgml : 20161229
20161229213627
ACCESSION NUMBER: 0001140361-16-091123
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161227
FILED AS OF DATE: 20161229
DATE AS OF CHANGE: 20161229
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AmpliPhi Biosciences Corp
CENTRAL INDEX KEY: 0000921114
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 911549568
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3579 VALLEY CENTRE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
BUSINESS PHONE: 804-827-2524
MAIL ADDRESS:
STREET 1: 3579 VALLEY CENTRE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
FORMER COMPANY:
FORMER CONFORMED NAME: TARGETED GENETICS CORP /WA/
DATE OF NAME CHANGE: 19940331
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: INTREXON CORP
CENTRAL INDEX KEY: 0001356090
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731]
STATE OF INCORPORATION: VA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37544
FILM NUMBER: 162076220
BUSINESS ADDRESS:
STREET 1: 1750 KRAFT DRIVE
STREET 2: SUITE 1400
CITY: BLACKSBURG
STATE: VA
ZIP: 24060
BUSINESS PHONE: 301-556-9809
MAIL ADDRESS:
STREET 1: 1750 KRAFT DRIVE
STREET 2: SUITE 1400
CITY: BLACKSBURG
STATE: VA
ZIP: 24060
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KIRK RANDAL J
CENTRAL INDEX KEY: 0001091823
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37544
FILM NUMBER: 162076221
MAIL ADDRESS:
STREET 1: 1881 GROVE AVENUE
CITY: RADFORD
STATE: VA
ZIP: 24141
4
1
doc1.xml
FORM 4
X0306
4
2016-12-27
1
0000921114
AmpliPhi Biosciences Corp
APHB
0001091823
KIRK RANDAL J
C/O THIRD SECURITY, LLC
1881 GROVE AVENUE
RADFORD
VA
24141
0
0
1
0
0001356090
INTREXON CORP
C/O LEGAL DEPARTMENT
20374 SENECA MEADOWS PARKWAY
GERMANTOWN
MD
20876
0
0
1
0
Common Stock
2016-12-27
4
S
0
26308
.51
D
802263
I
by NRM VII Holdings
Common Stock
2016-12-28
4
S
0
44170
.47
D
758093
I
by NRM VII Holdings
Common Stock
2016-12-29
4
S
0
21923
.45
D
736170
I
by NRM VII Holdings
Common Stock
2016-12-27
4
S
0
24092
.51
D
734696
I
by Intrexon
Common Stock
2016-12-28
4
S
0
40450
.47
D
694246
I
by Intrexon
Common Stock
2016-12-29
4
S
0
20077
.45
D
674169
I
by Intrexon
Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.
Randal J. Kirk controls NRM VII Holdings. Shares held by this entity may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
/s/ Randal J. Kirk
2016-12-29
/s/ Randal J. Kirk, CEO of Intrexon Corporation
2016-12-29