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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 | |
PURA VIDA INVESTMENTS, LLC 150 EAST 52ND STREET, SUITE 32001 NEW YORK, NY 10022 |
X | |||
Kamen Efrem C/O PURA VIDA INVESTMENTS, LLC 150 EAST 52ND STREET, SUITE 32001 NEW YORK, NY 10022 |
Managing Member |
Pura Vida Investments LLC By: /s/ Efrem Kamen, Managing Member | 12/11/2019 | |
**Signature of Reporting Person | Date | |
Efrem Kamen By: /s/ Efrem Kamen | 12/11/2019 | |
**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) | Shares reported herein are held by Pura Vida Master Fund, Ltd. (the "Pura Vida Master Fund"). Pura Vida Investments, LLC ("PVI") serves as the investment manager to the Pura Vida Master Fund. Efrem Kamen serves as the Managing Member of PVI. |
(2) | The securities reported herein may be deemed beneficially owned by each of: (i) PVI, which is deemed the beneficial owner of shares held by the Pura Vida Master Fund, and (ii) Efrem Kamen who serves as the Managing Member of PVI. Mr. Kamen exercises voting and dispositive control over the securities and is therefore deemed to be a beneficial owner of securities owned or controlled by PVI. Each of PVI and Mr. Kamen disclaim beneficial ownership of the reported securities held by Pura Vida Master Fund, except to the extent of its or his pecuniary interest therein. |