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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 | |
Hyperion Trading Segregated Portfolio C/O TMF LTD. GRAND PAVILLION COMM. CTR 2ND FL., 802 WEST BAY ROAD, PO BOX 10338 GRAND CAYMAN, E9 KY1-1003 |
X |
/s/ David P.M. Blair and Richard A. Reinert | 08/19/2014 | |
**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) | The shares of common stock, $0.001 par value per share (the "Common Shares"), of Raptor Pharmaceutical Corp., a Delaware corporation (the "Company"), reported herein were held by Hyperion Trading Segregated Portfolio (the "Reporting Person"), a segregated portfolio of Strategic Investment Tribes Fund SPC, a Cayman Islands exempted company registered as a segregated portfolio company, managed by Sequoia Asset Management S.A., a company organized under the laws of Switzerland ("Sequoia"). |
(2) | The Common Shares reported herein represent transactions undertaken by the Reporting Person. Pursuant to Reg. Section 240.16a-1(a)(1), Sequoia, as the investment manager of the Reporting Person, is not deemed a beneficial owner of the Common Shares held by the Reporting Person or any other account managed by Sequoia. In the event that Sequoia is deemed a beneficial owner of the Common Shares held by the Reporting Person or any other account managed by Sequoia, pursuant to Reg. Section 240.16a-1(a)(2), its beneficial ownership is limited to its pecuniary interest, if any, in such Common Shares. |
(3) | This price represents the weighted average sale of the Common Shares on April 8, 2013, which were sold in multiple transactions ranging from $5.76 to $5.89, inclusive. |
(4) | This price represents the weighted average sale of the Common Shares on April 11, 2013, which were sold in multiple transactions ranging from $5.80 to $5.87, inclusive. |
(5) | This price represents the weighted average sale of the Common Shares on April 17, 2013, which were sold in multiple transactions ranging from $5.45 to $5.51, inclusive. |
(6) | This price represents the weighted average sale of the Common Shares on April 23, 2013, which were sold in multiple transactions ranging from $6.50 to $6.70, inclusive. |
(7) | This price represents the weighted average sale of the Common Shares on April 25, 2013, which were sold in multiple transactions ranging from $6.80 to $7.20, inclusive. |
(8) | This price represents the weighted average sale of the Common Shares on April 30, 2013, which were sold in multiple transactions ranging from $7.30 to $7.60, inclusive. |
(9) | This price represents the weighted average purchase of the Common Shares on May 6, 2013, which were purchased in multiple transactions ranging from $5.90 to $6.03, inclusive. |
(10) | This price represents the weighted average purchase of the Common Shares on May 10, 2013, which were purchased in multiple transactions ranging from $5.65 to $5.80, inclusive. |
(11) | This price represents the weighted average purchase of the Common Shares on May 13, 2013, which were purchase in multiple transactions ranging from $5.78 to $5.83, inclusive. |
(12) | This price represents the weighted average purchase sale of the Common Shares on June 3, 2013, which were sold in multiple transactions ranging from $7.80 to $7.90, inclusive. |
(13) | This price represents the weighted average purchase sale of the Common Shares on June 4, 2013, which were sold in multiple transactions ranging from $7.80 to $7.80, inclusive. |
(14) | This price represents the weighted average purchase sale of the Common Shares on June 5, 2013, which were sold in multiple transactions ranging from $7.72 to $7.90, inclusive. |
(15) | This price represents the weighted average purchase sale of the Common Shares on June 6, 2013, which were sold in multiple transactions ranging from $7.54 to $7.75, inclusive. |
(16) | This price represents the weighted average purchase sale of the Common Shares on June 11, 2013, which were sold in multiple transactions ranging from $7.65 to $7.71, inclusive. |
(17) | This price represents the weighted average purchase sale of the Common Shares on June 12, 2013, which were sold in multiple transactions ranging from $7.64 to $7.83, inclusive. |
(18) | This price represents the weighted average purchase sale of the Common Shares on June 20, 2013, which were sold in multiple transactions ranging from $7.48 to $7.60, inclusive. |
(19) | This price represents the weighted average purchase sale of the Common Shares on July 10, 2013, which were sold in multiple transactions ranging from $9.72 to $10.20, inclusive. |
(20) | This price represents the weighted average purchase sale of the Common Shares on August 6, 2013, which were sold in multiple transactions ranging from $10.08 to $10.09, inclusive. |
Remarks: 1. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the Staff of the Securities and Exchange Commission, upon request, the full information regarding the number of Common Shares bought at each separate price within the ranges set forth in this Form 4. |