SEC Filings

SC 13D/A
FLYNN JAMES E filed this Form SC 13D/A on 08/22/2017
Entire Document
 

 

CUSIP No.  05366U100 13D/A Page 13 of 15 Pages

 

(7)       Deerfield Mgmt III

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 685,040

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 685,040

 

(8)       Flynn

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 2,324,060

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 2,324,060

 

Flynn is the sole member of the general partner of each of Deerfield Mgmt, Deerfield Mgmt III and Deerfield Management. Deerfield Mgmt is the general partner, and Deerfield Management is the investment advisor, of Deerfield Special Situations Fund, Deerfield Partners and Deerfield International Master Fund. Deerfield Mgmt III is the general partner, and Deerfield Management is the investment advisor, of Deerfield Private Design Fund III.

 

(c) No Reporting Person has effected any transactions in the Company’s securities within the past sixty days. The changes in the percentage of Common Stock beneficially owned by each Reporting Person reflected in this Amendment have resulted solely from an increase in the number of shares of Common Stock outstanding, a change in the number of shares of Common Stock underlying the vested portion of options held by Jonathan Leff for the benefit of Deerfield Management and purchases that occurred prior to such sixty-day period.

 

Item 7. Material to be Filed as Exhibits

 

Item 7 of the Schedule 13D is hereby amended by adding the following:

 

Exhibit 99.2 Power of Attorney (incorporated by reference to Exhibit 24 to a Form 3 with regard to Proteon Therapeutics, Inc. filed with the Securities and Exchange Commission on August 4, 2017 by Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P., Deerfield International Master Fund, L.P., Deerfield Private Design Fund III, L.P., Deerfield Private Design Fund IV, L.P., Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Management Company, L.P., and James E. Flynn).


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