SEC Info - Investor AB - ‘4’ for 11/18/03 re: Investor AB

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

INVESTOR AB

(Last)

(First)

(Middle)

ARSENALSGATAN 8C, S-103 32

(Street)

STOCKHOLM, SWEDEN

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
INVESTOR AB [ TSRA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
11/18/03

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, par value $.001 per share	11/18/03		C		4,214,113	A	⁽¹⁾	4,214,113	D
Common Stock, par value $.001 per share	11/18/03		C		1,806,048	A	⁽¹⁾	6,020,161	I	See Footnotes ⁽⁴⁾ ⁽⁹⁾ ⁽¹⁰⁾
Common Stock, par value $.001 per share	11/18/03		S		350,000 ⁽²⁾	D	$12.09	5,670,161	D
Common Stock, par value $.001 per share	11/18/03		S		150,000 ⁽³⁾	D	$12.09	5,520,161 ⁽⁵⁾	I	See Footnotes ⁽⁴⁾ ⁽⁹⁾ ⁽¹⁰⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series C Preferred Stock	⁽¹⁾	11/18/03		C			560,000	⁽⁶⁾	⁽¹⁾	Common Stock	560,000	⁽⁷⁾	0	D
Series D Preferred Stock	⁽¹⁾	11/18/03		C			2,814,574	⁽⁶⁾	⁽¹⁾	Common Stock	2,814,574	⁽⁷⁾	0	D
Series E Preferred Stock	⁽¹⁾	11/18/03		C			186,665	⁽⁶⁾	⁽¹⁾	Common Stock	186,665	⁽⁷⁾	0	D
Series F Preferred Stock	⁽¹⁾	11/18/03		C			652,873	⁽⁶⁾	⁽¹⁾	Common Stock	652,873	⁽⁷⁾	0	D
Series C Preferred Stock	⁽¹⁾	11/18/03		C			240,000	⁽⁶⁾	⁽¹⁾	Common Stock	240,000	⁽⁸⁾	0	I	See Footnotes ⁽⁴⁾ ⁽⁹⁾ ⁽¹⁰⁾
Series D Preferred Stock	⁽¹⁾	11/18/03		C			1,206,246	⁽⁶⁾	⁽¹⁾	Common Stock	1,206,246	⁽⁸⁾	0	I	See Footnotes ⁽⁴⁾ ⁽⁹⁾ ⁽¹⁰⁾
Series E Preferred Stock	⁽¹⁾	11/18/03		C			79,999	⁽⁶⁾	⁽¹⁾	Common Stock	79,999	⁽⁸⁾	0	I	See Footnotes ⁽⁴⁾ ⁽⁹⁾ ⁽¹⁰⁾
Series F Preferred Stock	⁽¹⁾	11/18/03		C			279,803	⁽⁶⁾	⁽¹⁾	Common Stock	279,803	⁽⁸⁾	0	I	See Footnotes ⁽⁴⁾ ⁽⁹⁾ ⁽¹⁰⁾

Explanation of Responses:

(1) These securities automatically converted on a 1-for-1 basis into shares of the Issuer's common stock, par value $.001 per share ("Shares") upon the closing of the Issuer's initial public offering on November 18, 2003 ("IPO").

(2) These Shares were sold for the account of the Reporting Person pursuant to the IPO.

(3) These Shares were sold for the account of IG pursuant to the IPO.

(4) These Shares are/were held for the account of Investor Group, L.P., a Guernsey company ("IG"). The Reporting Person is the ultimate general partner of IG.

(5) Following the reported transactions, the Reporting Person may be deemed the beneficial owner of 5,520,161 Shares. Of this amount, (A) 3,864,113 Shares are held for the account of the Reporting Person and (B) 1,656,048 Shares are held for the account of IG.

(6) These securities were immediately exercisable.

(7) These securities were held for the account of the Reporting Person prior to the IPO.

(8) These securities were held for the account of IG prior to the IPO.

(9) The Reporting Person may be deemed to be a member of a "group" pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Act") that, combined, has beneficial ownership of more than 10% of the Issuer's outstanding Shares. The filing of this statement shall not be deemed an admission that the Reporting Person is a member of any such "group" or that the Reporting Person is the beneficial owner of any securities owned by any other person.

(10) The filing of this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of any securities not held directly for its account for purposes of Section 16 of the Act, or otherwise.

Remarks:

	Henry Gooss for Investor AB	11/20/03
	Michael Oporto for Investor AB	11/20/03
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

____________ Transaction Codes:
C	Conversion of derivative security.
S	Open market or private sale of non-derivative or derivative security.

Investor AB – ‘4’ for 11/18/03 re: Investor AB

On: Thursday, 11/20/03, at 4:12pm ET · For: 11/18/03 · As: 10% Owner · Accession #: 889232-3-8 · File #: 812-07970

Previous ‘4’: ‘4’ on 11/10/03 for 11/6/03 · Next: ‘4’ on 11/20/03 for 11/18/03 · Latest: ‘4’ on / for 5/29/14

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Investor AB – ‘4’ for 11/18/03 re: Investor AB

On: Thursday, 11/20/03, at 4:12pm ET · For: 11/18/03 · As: 10% Owner · Accession #: 889232-3-8 · File #: 812-07970

Previous ‘4’: ‘4’ on 11/10/03 for 11/6/03 · Next: ‘4’ on 11/20/03 for 11/18/03 · Latest: ‘4’ on / for 5/29/14

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents