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As Of Filer Filing For·On·As Docs:Size Issuer Agent 6/16/17 Kirk Randal J SC 13D/A 2:148K Soligenix, Inc. Summit Fin’l Printing Intrexon Corp NRM VII Holdings I, LLC Third Security, LLC |
Document/Exhibit Description Pages Size 1: SC 13D/A Amendment to General Statement of Beneficial HTML 65K Ownership 2: EX-99.1 Exhibit 1 HTML 8K
SOLIGENIX, INC.
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(Name of Issuer)
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Common Stock, par value $0.001 per share
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(Title of Class of Securities)
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(CUSIP Number)
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Third Security, LLC
1881 Grove Avenue
Attention: Marcus E. Smith, Esq.
(540) 633-7900
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
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Copy to:
Intrexon Corporation
Attention: Legal
20374 Seneca Meadows Parkway
(301) 556-9809
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(Date of Event which Requires Filing of this Statement)
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
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(a)
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☐
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(b)
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☒
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||||
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
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PF
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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232,536
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8
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SHARED VOTING POWER
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45,095
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9
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SOLE DISPOSITIVE POWER
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232,536
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10
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SHARED DISPOSITIVE POWER
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45,095
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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277,631
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12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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☐
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||||
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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4.9%
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14
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TYPE OF REPORTING PERSON
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IN
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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THIRD SECURITY, LLC
I.R.S. IDENTIFICATION NO.: 54-1923091
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2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
|
(a)
|
☐
|
||
(b)
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☒
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||||
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||||
3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
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WC
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||||
5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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|
☐
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||||
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||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Virginia
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||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
|
SOLE VOTING POWER
|
|
|
|
232,536
|
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|||
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||||
8
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SHARED VOTING POWER
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0
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|||
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||||
9
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SOLE DISPOSITIVE POWER
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|
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||
232,536
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|
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|||
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||||
10
|
SHARED DISPOSITIVE POWER
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0
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|
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|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
232,536
|
|
|
|||
|
|
||||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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4.1%
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14
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TYPE OF REPORTING PERSON
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OO – limited liability company
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1
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NAMES OF REPORTING PERSONS
|
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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NRM VII HOLDINGS I, LLC
I.R.S. IDENTIFICATION NO.: 27-1471440
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||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
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SEC USE ONLY
|
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||
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|||
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||||
4
|
SOURCE OF FUNDS
|
|
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||
WC
|
|
|
|||
|
|
||||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Virginia
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
232,536
|
|
|
|||
|
|
||||
8
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SHARED VOTING POWER
|
|
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||
0
|
|
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|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
232,536
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
232,536
|
|
|
|||
|
|
||||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
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4.1%
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|
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|||
|
|
||||
14
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TYPE OF REPORTING PERSON
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CO
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|||
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1
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NAMES OF REPORTING PERSONS
|
|
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||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
|
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|
|||
INTREXON CORPORATION
I.R.S. IDENTIFICATION NO.: 26-0084895
|
|
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|||
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|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
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)
|
|
☐
|
||
|
|
||||
|
|
||||
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
|
|
|
||
45,095
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
45,095
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
45,095
|
|
|
|||
|
|
||||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.8%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON
|
|
|
||
CO
|
|
|
|||
|
|
Reporting Person
|
Amount of
Common Stock
Beneficially
Owned
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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
|
||||||||||||||||||
277,631
|
4.9%
|
|
232,536
|
45,095
|
232,536
|
45,095
|
||||||||||||||||||
Third Security, LLC
|
232,536
|
4.1%
|
|
232,536
|
—
|
232,536
|
—
|
|||||||||||||||||
NRM VII Holdings I, LLC
|
232,536
|
4.1%
|
|
232,536
|
—
|
232,536
|
—
|
|||||||||||||||||
Intrexon Corporation
|
45,095
|
0.8%
|
|
—
|
45,095
|
—
|
45,095
|
Exhibit 1 |
Joint Filing Agreement, dated as of June 16, 2017, by and among Mr. Kirk, Third Security, NRM VII Holdings and Intrexon
|
/s/ Randal J. Kirk
|
||
THIRD SECURITY, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Manager
|
||
NRM VII HOLDINGS I, LLC
|
||
By:
|
/s/ Randal J. Kirk
|
|
Manager, Third Security LLC, which is the
Manager of Third Security Capital Partners VII, LLC
which is the Manager of
|
||
NRM VII Holdings I, LLC
|
||
INTREXON CORPORATION
|
||
By:
|
/s/ Randal J. Kirk
|
|
Chief Executive Officer
|
Exhibit 1 |
Joint Filing Agreement, dated as of June 16, 2017, by and among Mr. Kirk, Third Security, NRM VII Holdings and Intrexon
|
This ‘SC 13D/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 6/16/17 | |||
6/14/17 | 8-K | |||
5/26/17 | SC 13D/A | |||
5/24/17 | ||||
5/18/17 | SC 13D/A | |||
5/16/17 | ||||
5/11/17 | 10-Q, 4 | |||
5/8/17 | 4, SC 13D/A | |||
5/4/17 | 4 | |||
3/31/17 | 10-Q, 4 | |||
6/26/13 | 3, 4, 8-K, POS AM, SC 13D/A | |||
6/20/13 | 3, 4, 8-K, CORRESP | |||
5/9/13 | SC 13D | |||
4/27/13 | 8-K | |||
List all Filings |