4//SEC Filing
TARANTO HARRI V 4
Accession 0000950142-10-000687
CIK 0001029142other
Filed
Apr 19, 8:00 PM ET
Accepted
Apr 20, 6:07 PM ET
Size
19.4 KB
Accession
0000950142-10-000687
Insider Transaction Report
Form 4
SYMPHONY STRATEGIC PARTNERS LLC
Director10% OwnerOther
Transactions
- Other
Common Stock, par value $0.001 per share
2010-04-16+690,631→ 9,031,431 total - Other
Common Stock Warrant (right to buy)
2010-04-16+9,031,434→ 9,031,434 totalExercise: $1.50From: 2010-04-16Exp: 2015-04-16→ Common Stock (4,515,717 underlying) - Other
Common Stock Warrant (right to buy)
2010-04-16−1,283,200→ 0 totalExercise: $1.94From: 2009-12-30Exp: 2014-12-30→ Common Stock (1,283,200 underlying)
TARANTO HARRI V
Director10% OwnerOther
Transactions
- Other
Common Stock, par value $0.001 per share
2010-04-16+690,631→ 9,031,431 total - Other
Common Stock Warrant (right to buy)
2010-04-16+9,031,434→ 9,031,434 totalExercise: $1.50From: 2010-04-16Exp: 2015-04-16→ Common Stock (4,515,717 underlying) - Other
Common Stock Warrant (right to buy)
2010-04-16−1,283,200→ 0 totalExercise: $1.94From: 2009-12-30Exp: 2014-12-30→ Common Stock (1,283,200 underlying)
Symphony Capital Partners LP
Director10% OwnerOther
Transactions
- Other
Common Stock Warrant (right to buy)
2010-04-16+9,031,434→ 9,031,434 totalExercise: $1.50From: 2010-04-16Exp: 2015-04-16→ Common Stock (4,515,717 underlying) - Other
Common Stock, par value $0.001 per share
2010-04-16+690,631→ 9,031,431 total - Other
Common Stock Warrant (right to buy)
2010-04-16−1,283,200→ 0 totalExercise: $1.94From: 2009-12-30Exp: 2014-12-30→ Common Stock (1,283,200 underlying)
SYMPHONY CAPITAL GP, L.P.
Director10% OwnerOther
Transactions
- Other
Common Stock, par value $0.001 per share
2010-04-16+690,631→ 9,031,431 total - Other
Common Stock Warrant (right to buy)
2010-04-16−1,283,200→ 0 totalExercise: $1.94From: 2009-12-30Exp: 2014-12-30→ Common Stock (1,283,200 underlying) - Other
Common Stock Warrant (right to buy)
2010-04-16+9,031,434→ 9,031,434 totalExercise: $1.50From: 2010-04-16Exp: 2015-04-16→ Common Stock (4,515,717 underlying)
SYMPHONY GP, LLC
Director10% OwnerOther
Transactions
- Other
Common Stock Warrant (right to buy)
2010-04-16+9,031,434→ 9,031,434 totalExercise: $1.50From: 2010-04-16Exp: 2015-04-16→ Common Stock (4,515,717 underlying) - Other
Common Stock, par value $0.001 per share
2010-04-16+690,631→ 9,031,431 total - Other
Common Stock Warrant (right to buy)
2010-04-16−1,283,200→ 0 totalExercise: $1.94From: 2009-12-30Exp: 2014-12-30→ Common Stock (1,283,200 underlying)
Footnotes (5)
- [F1]As a result of the offering by Dynavax Technologies Corp. (the "Issuer") of 30,293,000 units to certain institutional accredited investors, other than the Reporting Persons, and in accordance with the post-closing adjustment terms of the Amended and Restated Purchase Option Agreement (the "APOA"), dated November 9, 2009, among Symphony Dynamo Holdings LLC, Symphony Dynamo, Inc. and the Issuer: (i) Symphony Capital Partners, L.P. ("SCP L.P.") received 655,023 shares of the Issuer's Common Stock par value $.001 per share ("Common Stock") and one warrant representing the right to purchase 4,282,895 shares of Common Stock and (ii) Symphony Strategic Partners ("Strategic Partners LLC") received 35,608 shares of Common Stock and one warrant representing the right to purchase 232,822 shares of Common Stock.
- [F2]Pursuant to the terms of the APOA, the warrant directly owned by SCP LP representing the right to purchase 1,217,040 shares of Common Stock and the warrant directly owned by Strategic Partners LLC representing the right to purchase 66,160 shares of Common Stock were cancelled in connection with the adjustment described above.
- [F3]Includes 8,565,787 shares of Common stock directly owned by SCP L.P. and 465,644 shares of Common Stock directly owned by Strategic Partners LLC.
- [F4]Includes one warrant directly owned by SCP L.P. representing the right to purchase 4,282,895 shares of Common Stock and one warrant directly owned by Strategic Partners LLC representing the right to purchase 232,822 shares of Common Stock.
- [F5]Symphony GP, LLC ("SGP LLC") is the general partner of Symphony Capital GP, L.P. ("SC GP L.P."), which is the general partner of SCP L.P. Mark Kessel and Harri V. Taranto are managing members of SGP LLC and Strategic Partners LLC. Mr. Kessel is also a member of the Issuer's board of directors. As such, each of the Reporting Persons, other than Mr. Kessel, may be deemed to be a director of the Issuer by deputization.
Documents
Issuer
DYNAVAX TECHNOLOGIES CORP
CIK 0001029142
Entity typeother
Related Parties
1- filerCIK 0001469948
Filing Metadata
- Form type
- 4
- Filed
- Apr 19, 8:00 PM ET
- Accepted
- Apr 20, 6:07 PM ET
- Size
- 19.4 KB