Filing Details
- Accession Number:
- 0001140361-11-017510
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-17 17:54:54
- Reporting Period:
- 2011-03-15
- Filing Date:
- 2011-03-17
- Accepted Time:
- 2011-03-17 17:54:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1261734 | Aeolus Pharmaceuticals Inc. | AOLS | Pharmaceutical Preparations (2834) | 561953785 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1350855 | Efficacy Capital, Ltd. | 11622 El Camino Real, Suite 100 San Deigo CA 92130 | No | No | Yes | No | |
| 1366070 | Ltd. Fund Master Biotech Efficacy | 11622 El Camino Real Suite 100 San Diego CA 92130 | No | No | Yes | No | |
| 1366071 | Ltd Fund Biotech Efficacy | 11622 El Camino Real Suite 100 San Diego CA 92130 | No | No | Yes | No | |
| 1366073 | L.p. Fund Biotech Efficacy | 11622 El Camino Real Suite 100 San Diego CA 92130 | No | No | Yes | No | |
| 1366074 | Mark Lappe | 11622 El Camino Real Suite 100 San Diego CA 92130 | 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 | Disposition | 2011-03-15 | 193,234 | $0.76 | 8,148,812 | No | 4 | S | Indirect | See Footnote |
| Common Stock | Disposition | 2011-03-16 | 3,799,380 | $0.61 | 4,349,432 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Purchase Warrants (Right to Buy) | Disposition | 2011-03-16 | 2,541,000 | $0.61 | 2,541,000 | $0.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,235,281 | 2006-06-05 | 2011-06-05 | No | 4 | S | Indirect |
Footnotes
- These shares are owned directly by Efficacy Biotech Master Fund Ltd. The Reporting Person acts as an investment adviser with investment and voting discretion over portfolio investments. The Reporting Person is an indirect beneficial owner of the reported securities.
- The securities were sold in a block transaction in which shares of common stock and certain warrants to purchase common stock were sold for a price of $.61 per share of common stock.
- The warrant is exercisable at any time provided that such date is no later than the expiration date of the warrant.
Billionaire Hedge Funds
