Filing Details
- Accession Number:
- 0001140361-13-003592
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-29 18:21:29
- Reporting Period:
- 2013-01-25
- Filing Date:
- 2013-01-29
- Accepted Time:
- 2013-01-29 18:21:29
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1043961 | Transgenomic Inc | TBIO.OB | Laboratory Analytical Instruments (3826) | 911789357 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1091823 | J Randal Kirk | C/O Third Security, Llc 1881 Grove Avenue Radford VA 24141 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-01-25 | 2,400,000 | $0.00 | 3,698,361 | No | 4 | P | Indirect | by TS Senior Staff 2008 |
| Common Stock | Acquisiton | 2013-01-25 | 2,400,000 | $0.00 | 3,698,361 | No | 4 | P | Indirect | by TS Staff 2010 |
| Common Stock | Acquisiton | 2013-01-25 | 1,200,000 | $0.00 | 1,849,181 | No | 4 | P | Indirect | by TS Incentive 2010 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | by TS Senior Staff 2008 |
| No | 4 | P | Indirect | by TS Staff 2010 |
| No | 4 | P | Indirect | by TS Incentive 2010 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-01-25 | 1,200,000 | $0.00 | 1,200,000 | $0.75 |
| Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-01-25 | 1,200,000 | $0.00 | 1,200,000 | $0.75 |
| Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-01-25 | 600,000 | $0.00 | 600,000 | $0.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,200,000 | 2018-01-25 | No | 4 | P | Indirect | |
| 1,200,000 | 2018-01-25 | No | 4 | P | Indirect | |
| 600,000 | 2018-01-25 | No | 4 | P | Indirect |
Footnotes
- On January 25, 2013, in a private placement the issuer issued Units at a price per Unit of $0.50 consisting of one share of common stock and a warrant to purchase 0.5 shares of common stock at an exercise price of $0.75 per share. The Units purchased in such offering by Third Security Senior Staff 2008 LLC ("TS Senior Staff 2008"), Third Security Staff 2010 LLC ("TS Staff 2010") and Third Security Incentive 2010 LLC ("TS Incentive 2010") resulted in ownership of shares of common stock and warrants as follows: 1,200,000 shares of common stock and 600,000 warrants by TS Senior Staff 2008, 1,200,000 shares of common stock and 600,000 warrants by TS Staff 2010 and 600,000 shares of common stock and 300,000 warrants by TS Incentive 2010.
- Randal J. Kirk controls Third Security, LLC, which is the manager of each of TS Senior Staff, TS Staff 2010 and TS Incentive 2010. Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
- These warrants are exercisable immediately upon issuance.
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