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 12 of 15 Pages

 

(3)       Deerfield Special Situations Fund

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 230,585

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 230,585

 

(4)       Deerfield Private Design Fund III

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 1,343,202

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 1,343,202

 

(5)       Deerfield Partners

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 160,143

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 160,143

 

(6)       Deerfield International Master Fund

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 111,286

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 111,286

 

(7)       Deerfield Mgmt III

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 1,343,202

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 1,343,202

 

(8)       Flynn

 

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

 

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.

 


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