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As Of Filer Filing For·On·As Docs:Size Issuer Agent 6/02/16 Kirk Randal J SC 13D/A 2:102K Halozyme Therapeutics Inc Summit Fin’l Printing New River Management V, LP Third Security, LLC |
Document/Exhibit Description Pages Size 1: SC 13D/A Randal J. Kirk SC 13D A No. 7 5-31-2016 (Halozyme HTML 48K Therapeutics) 2: EX-99.1 Exhibit 1 HTML 7K
HALOZYME THERAPEUTICS, INC.
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(Name of Issuer)
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Common Stock, $0.001 par value per share
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(Title of Class of Securities)
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406 37H 109
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(CUSIP Number)
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Third Security, LLC
The Governor Tyler
1881 Grove Ave.
Attention: Marcus E. Smith, Esq.
Telephone No.: 540-633-7971
Copy to:
David I. Meyers, Esq.
John Owen Gwathmey, Esq.
Troutman Sanders LLP
1001 Haxall Point
(804) 697-1200
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
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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 (ENTITIES ONLY)
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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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 (SEE INSTRUCTIONS)
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PF
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5
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CHECK BOX 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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19,315,403
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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19,315,403
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10
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SHARED DISPOSITIVE POWER
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0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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19,315,403
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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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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15%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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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 (ENTITIES ONLY)
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THIRD SECURITY, LLC
I.R.S. IDENTIFICATION NO.: 54-1923091
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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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 (SEE INSTRUCTIONS)
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WC
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5
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CHECK BOX 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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Virginia
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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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12,652,531
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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12,652,531
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10
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SHARED DISPOSITIVE POWER
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0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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12,652,531
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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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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9.8%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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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 (ENTITIES ONLY)
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NEW RIVER MANAGEMENT V, LP
I.R.S. Identification No.: 56-2652938
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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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 (SEE INSTRUCTIONS)
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WC
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5
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CHECK BOX 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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6,328,853
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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6,328,853
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10
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SHARED DISPOSITIVE POWER
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0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,328,853
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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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 (SEE INSTRUCTIONS)
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PN
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Reporting Person
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Amount of
Common Stock
Beneficially
Owned
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Percent
of Class
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Sole Power
to Vote or
Direct
the Vote
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Shared
Power to
Vote or
Direct
the Vote
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Sole Power to
Dispose or to
Direct the
Disposition
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Shared Power to
Dispose or to
Direct the
Disposition
|
19,315,403
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15%
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19,315,403
|
--
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19,315,403
|
--
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Third Security, LLC
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12,652,531
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9.8%
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12,652,531
|
--
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12,652,531
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--
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New River Management V, LP
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6,328,853
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4.9%
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6,328,853
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--
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6,328,853
|
--
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Exhibit 1 | Joint Filing Agreement, dated as of June 2, 2016, by and among Randal J. Kirk, Third Security, LLC and New River Management V, LP |
/s/ Randal J. Kirk
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THIRD SECURITY, LLC
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By:
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/s/ Randal J. Kirk
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Manager
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NEW RIVER MANAGEMENT V, LP
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By:
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/s/ Randal J. Kirk
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Manager
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Exhibit 1 | Joint Filing Agreement, dated as of June 2, 2016, by and among Randal J. Kirk, Third Security, LLC and New River Management V, LP. |
This ‘SC 13D/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 6/2/16 | 4, SC 13D/A | ||
5/31/16 | 4 | |||
5/9/16 | 10-Q, 8-K, S-8 | |||
5/4/16 | 4, 8-K | |||
5/2/16 | 4 | |||
3/31/16 | 10-Q, 4 | |||
6/6/12 | SC 13D/A | |||
6/1/12 | 4 | |||
2/13/12 | 4, SC 13D/A | |||
2/10/12 | 4, 424B5, 8-K | |||
8/17/11 | SC 13D/A | |||
8/10/11 | 4 | |||
7/2/08 | SC 13D/A | |||
6/23/08 | 4 | |||
3/24/08 | 4, SC 13D/A | |||
3/19/08 | 4, 8-K | |||
6/5/07 | SC 13D/A | |||
5/30/07 | 4 | |||
5/24/07 | SC 13D | |||
5/15/07 | 3, 4, 4/A, 8-K, DEF 14A | |||
5/31/06 | ||||
List all Filings |