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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wang Theodore T C/O PUISSANCE CAPITAL MANAGEMENT LP 950 THIRD AVENUE, 25TH FLOOR NEW YORK, NY 10022 |
X | X | ||
Puissance Cross-Border Opportunities II LLC C/O PUISSANCE CAPITAL FUND (GP) LLC 950 THIRD AVENUE NEW YORK, NY 10022 |
X | |||
Puissance Capital Fund (GP) LLC 950 THIRD AVENUE 25TH FLOOR NEW YORK, NY 10022 |
X | |||
Puissance Capital Management LP 950 THIRD AVENUE, 25TH FLOOR NEW YORK, NY 10022 |
X | |||
Puissance Capital Management (GP) LLC 950 THIRD AVENUE 25TH FLOOR NEW YORK, NY 10022 |
X |
Puissance Cross-Border Opportunities II LLC, By: Puissance Capital Fund (GP) LLC, its general partner, By: Theodore T. Wang, Managing Member | 03/03/2020 | |
**Signature of Reporting Person | Date | |
Puissance Capital Fund (GP) LLC, By: Theodore T. Wang, Managing Member | 03/03/2020 | |
**Signature of Reporting Person | Date | |
Puissance Capital Management LP, By: Puissance Capital Management (GP) LLC, its general partner, By: Theodore T. Wang, Managing Member | 03/03/2020 | |
**Signature of Reporting Person | Date | |
Puissance Capital Management (GP) LLC, By: Theodore Wang, Managing Member | 03/03/2020 | |
**Signature of Reporting Person | Date | |
/s/ Theodore T. Wang | 03/03/2020 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Puissance Cross-Border Opportunities II LLC made an in-kind distribution of an aggregate 8,918,898 shares of the Issuer's common stock to one of its limited partners in connection with the redemption of partnership interests. |
(2) | These securities are held directly by Puissance Cross-Border Opportunities II LLC and may be deemed to be beneficially owned by Puissance Capital Management LP, the investment manager of Puissance Cross Border Opportunities II LLC; Puissance Capital Management (GP) LLC, the general partner of Puissance Capital Management LP; Puissance Capital Fund (GP) LLC, the general partner of Puissance Cross Border Opportunities II LLC; and Theodore T. Wang, the managing member of Puissance Capital Management (GP) LLC and Puissance Capital Fund (GP) LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(3) | These shares are owned directly by Theodore T. Wang. |