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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 | |
Memorial Sloan-Kettering Cancer Center 1275 YORK AVE. NEW YORK, NY 10065 |
X | |||
AHLB Holdings, LLC C/O MSKCC 1275 YORK AVE. NEW YORK, NY 10065 |
X | |||
Actinium Holdings, Ltd. C/O /O STERLING MANAGEMENT, LTD. P.O. BOX HM 29 HAMILTON HM CX, D0 00000 |
X |
/s/ Memorial Sloan-Kettering Cancer Center, By Eric Cottington, PhD, its Sr. Vice President, Research & Technology Management | 05/08/2015 | |
**Signature of Reporting Person | Date | |
/s/ AHLB Holdings, LLC, By Memorial Sloan-Kettering Cancer Center, its sole member, By Eric Cottington, PhD, its Sr. Vice President, Research & Technology Management | 05/08/2015 | |
**Signature of Reporting Person | Date | |
/s/ Actinium Holdings Ltd., By Eric Cottington, PhD, its President | 05/08/2015 | |
**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 transfer of shares previously held directly by Actinium Holdings Ltd. ("AHL") to Memorial Sloan-Kettering Cancer Center ("MSKCC"). MSKCC owns all of the membership interests in AHLB Holdings, LLC ("AHLB"), which owns all of the outstanding shares of AHL. As a result of the transfer, AHL and AHLB are no longer deemed a beneficial owner of the shares. With respect to MSKCC, the transfer constitutes a change in the form of beneficial interest from indirect to direct in accordance with Rule 16a-13. |