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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | |
Pantuso Anthony C/O NEOCARTA VENTURES 204 E. 2ND AVENUE, SUITE 428 SAN MATEO, CA 94401 |
X |
/s/ Anthony Pantuso | 11/10/2010 | |
**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) | Represents a change in the form of beneficial ownership from one form of indirect ownership to another by virtue of a pro-rata in-kind distribution of the Issuer's Common Stock by NeoCarta Ventures, L.P. ("NeoCarta Ventures") without consideration to its limited partners and its general partner, NeoCarta Associates, LLC ("NeoCarta Associates"). |
(2) | Represents a change in the form of beneficial ownership from one form of indirect ownership to another by virtue of a pro-rata in-kind distribution of the Issuer's Common Stock by NeoCarta Scout Fund, LLC ("NeoCarta Scout") without consideration to its members and its manager, NeoCarta Associates. |
(3) | The Reporting Person is a Managing Director of NeoCarta Associates, which serves as the general partner of NeoCarta Ventures and as the Manager of NeoCarta Scout. NeoCarta Ventures and NeoCarta Scout are under common control. As such, the Reporting Person shares voting and investment power over the shares held by NeoCarta Ventures and NeoCarta Scout. The Reporting Person disclaims beneficial ownership of the shares held by NeoCarta Ventures and NeoCarta Scout except to the extent of his proportionate pecuniary interest therein. |
(4) | Represents the receipt of shares of the Issuer's Common Stock by virtue of the pro-rata in-kind distributions described in foonotes (1) and (2) above by NeoCarta Associates without consideration. |