4//SEC Filing
RESPONSE GENETICS INC 4
Accession 0001140361-15-042073
CIK 0001124608operating
Filed
Nov 16, 7:00 PM ET
Accepted
Nov 17, 5:49 PM ET
Size
27.9 KB
Accession
0001140361-15-042073
Insider Transaction Report
Form 4
SWIFTCURRENT OFFSHORE LTD.
10% Owner
Transactions
- Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-16−116,095→ 1,940,805 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-16−183,905→ 3,074,195 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-13−547,100→ 2,056,900 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-13−47,900→ 3,258,100 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-17−147,060→ 1,793,745 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-17−232,940→ 2,841,255 total(indirect: See footnotes)
Holdings
- 744,595(indirect: See footnotes)
Warrants (right to buy)
Exercise: $0.37From: 2015-04-03Exp: 2021-04-03→ Common Stock (744,595 underlying) - 606,757(indirect: See footnotes)
Warrants (right to buy)
Exercise: $0.37From: 2015-04-03Exp: 2021-04-03→ Common Stock (606,757 underlying)
BRIDGER MANAGEMENT LLC
10% Owner
Transactions
- Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-13−47,900→ 3,258,100 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-16−116,095→ 1,940,805 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-17−232,940→ 2,841,255 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-13−547,100→ 2,056,900 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-16−183,905→ 3,074,195 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-17−147,060→ 1,793,745 total(indirect: See footnotes)
Holdings
- 606,757(indirect: See footnotes)
Warrants (right to buy)
Exercise: $0.37From: 2015-04-03Exp: 2021-04-03→ Common Stock (606,757 underlying) - 744,595(indirect: See footnotes)
Warrants (right to buy)
Exercise: $0.37From: 2015-04-03Exp: 2021-04-03→ Common Stock (744,595 underlying)
MIGNONE ROBERTO
10% Owner
Transactions
- Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-13−547,100→ 2,056,900 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-13−47,900→ 3,258,100 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-16−116,095→ 1,940,805 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-17−147,060→ 1,793,745 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-16−183,905→ 3,074,195 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-17−232,940→ 2,841,255 total(indirect: See footnotes)
Holdings
- 744,595(indirect: See footnotes)
Warrants (right to buy)
Exercise: $0.37From: 2015-04-03Exp: 2021-04-03→ Common Stock (744,595 underlying) - 606,757(indirect: See footnotes)
Warrants (right to buy)
Exercise: $0.37From: 2015-04-03Exp: 2021-04-03→ Common Stock (606,757 underlying)
Swiftcurrent Offshore Master, Ltd.
10% Owner
Transactions
- Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-16−183,905→ 3,074,195 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-13−547,100→ 2,056,900 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-13−47,900→ 3,258,100 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-16−116,095→ 1,940,805 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-17−147,060→ 1,793,745 total(indirect: See footnotes) - Disposition to Issuer
Common Stock, $0.01 par value per share
2015-11-17−232,940→ 2,841,255 total(indirect: See footnotes)
Holdings
- 606,757(indirect: See footnotes)
Warrants (right to buy)
Exercise: $0.37From: 2015-04-03Exp: 2021-04-03→ Common Stock (606,757 underlying) - 744,595(indirect: See footnotes)
Warrants (right to buy)
Exercise: $0.37From: 2015-04-03Exp: 2021-04-03→ Common Stock (744,595 underlying)
Footnotes (10)
- [F1]The price reported in Column 4 is a weighted average price, rounded to the nearest whole cent. The shares reported in Column 4 were sold in multiple transactions at prices ranging from $0.0015 to $0.0025, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- [F10]These warrants are directly owned by Swiftcurrent Partners L.P. and included on this Form 4 for purposes of completeness. The warrants were acquired in connection with the Second Amended Credit Agreement, pursuant to which Swiftcurrent Partners L.P. provided the Issuer with a Term Loan Commitment of $449,000. Bridger Management, LLC is the investment adviser to Swiftcurrent Partners L.P. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management, LLC and Mr. Mignone may be deemed to share beneficial ownership of the warrants owned by Swiftcurrent Partners L.P.
- [F2]These securities are directly owned by Swiftcurrent Partners L.P. Bridger Management, LLC is the investment adviser to Swiftcurrent Partners L.P. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management, LLC and Mr. Mignone may be deemed to share beneficial ownership of the securities owned by Swiftcurrent Partners L.P.
- [F3]Each reporting person and entity named herein disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein and this report shall not be deemed an admission that the reporting person or any entity named herein is the beneficial owner of the securities for purposes of Section 16, or for any other purpose.
- [F4]The price reported in Column 4 is a weighted average price, rounded to the nearest whole cent. The shares reported in Column 4 were sold in multiple transactions at prices ranging from $0.0011 to $0.0015, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.
- [F5]These securities are directly owned by Swiftcurrent Offshore Master, Ltd. Swiftcurrent Offshore Ltd. invests substantially all of its assets in Swiftcurrent Offshore Master, Ltd. and may be deemed to share beneficial ownership of the securities owned by Swiftcurrent Offshore Master, Ltd. Bridger Management, LLC is the investment adviser to Swiftcurrent Offshore Master, Ltd. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management, LLC and Mr. Mignone may be deemed to share beneficial ownership of the securities owned by Swiftcurrent Offshore Master, Ltd.
- [F6]As of the November 16, 2015 disposition of common stock by Swiftcurrent Offshore Master, Ltd. reported in this Form 4, Swiftcurrent Offshore Master, Ltd. and Swiftcurrent Offshore Ltd. ceased to be Section 16 filers. The box on page one of this Form 4 is not checked because Bridger Management, LLC and Robert Mignone may remain subject to Section 16 as of the date of this filing.
- [F7]The price reported in Column 4 is a weighted average price, rounded to the nearest whole cent. The shares reported in Column 4 were sold in multiple transactions at prices ranging from $0.0008 to $0.0009, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4.
- [F8]These warrants are directly owned by Swiftcurrent Offshore Master, Ltd. and included on this Form 4 for purposes of completeness. The warrants were acquired in connection with the Second Amended Credit Agreement dated as of April 3, 2015 (the "Second Amended Credit Agreement") among the Issuer, as the borrower, and the parties thereto, including Swiftcurrent Offshore Master Ltd. and Swiftcurrent Partners L.P., as lenders. Pursuant to the Second Amended Credit Agreement, Swiftcurrent Offshore Master Ltd. provided the Issuer with a Term Loan Commitment of $551,000.
- [F9]Swiftcurrent Offshore Ltd. invests substantially all of its assets in Swiftcurrent Offshore Master, Ltd. and may be deemed to share beneficial ownership of the warrants owned by Swiftcurrent Offshore Master, Ltd. Bridger Management, LLC is the investment adviser to Swiftcurrent Offshore Master, Ltd. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management, LLC and Mr. Mignone may be deemed to share beneficial ownership of the warrants owned by Swiftcurrent Offshore Master, Ltd.
Documents
Issuer
RESPONSE GENETICS INC
CIK 0001124608
Entity typeoperating
Related Parties
1- filerCIK 0001124608
Filing Metadata
- Form type
- 4
- Filed
- Nov 16, 7:00 PM ET
- Accepted
- Nov 17, 5:49 PM ET
- Size
- 27.9 KB