SEC Filings

SC 13D/A
FLYNN JAMES E filed this Form SC 13D/A on 09/08/2017
Entire Document
 

 

CUSIP No.  05366U100 13D/A Page 11 of 15 Pages

 

(5)       Deerfield Partners

 

Number of Shares: 160,143

Percentage of Shares: 0.50%*

 

(6)       Deerfield International Master Fund

 

Number of Shares: 111,286

Percentage of Shares: 0.35%*

 

(7)       Deerfield Mgmt III

 

Number of shares: 1,343,202 (comprised of shares held by Deerfield Private Design Fund III)

Percentage of shares: 4.21%*

 

(8)       Flynn

 

Number of shares: 1,857,862 (comprised of shares held by Deerfield Special Situations Fund, Deerfield Partners, Deerfield International Master Fund, Deerfield Private Design Fund III, and Deerfield Management)

Percentage of shares: 5.82%*

 

*Percentage beneficial ownership reported herein reflects 31,938,092 shares of Common Stock outstanding, based on 31,925,446 shares of Common Stock outstanding as of August 10, 2017, as reported in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2017, plus 12,646 shares of Common Stock held by Deerfield Management, which were issued upon exercise of options held by Jonathan Leff.

 

(b)       

 

(1)       Deerfield Mgmt

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 502,014

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 502,014

 

(2)       Deerfield Management

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 1,857,862

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 1,857,862

 


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