Major Shareholding Notification • Aug 15, 2017
Major Shareholding Notification
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Washington, D.C. 20549
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STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
continue. See Instruction 1(b).
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
| OPKO Health, Inc. | 1. Name and Address of Reporting Person | 2. Issuer Name and Ticker or Trading Symbol Sevion Therapeutics, Inc. [SVON] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ____ Director |
||||
|---|---|---|---|---|---|---|---|
| (Last) | (First) (Middle) 4400 Biscayne Blvd. |
3. Date of Earliest Transaction (Month/Day/Year) 08/10/2017 |
X 10% Owner _ Officer (give title below)_ Other (specify below) |
||||
| (Street) Miami |
FL | 33137 | 4. If Amendment, Date Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person ____ Form filed by More than One Reporting Person |
|||
| (City) | (State) | (Zip) |
| 1.Title of Security (Instr. 3) |
2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) |
6. Ownership Form: |
7. Nature of Indirect Beneficial |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| (Month/Day/Year) | Code | V | Amount | (A) or (D) |
Price | (Instr. 3 and 4) | Direct (D) or Indirect (I) (Instr. 4) |
Ownership (Instr. 4) |
||
| Common Stock | 08/10/2017 | (1) C |
1,563,123 | A | \$0.1 | 12,080,139 | D | |||
| Common Stock | 08/10/2017 | (2) C |
2,563,699 | A | \$0.1 | 14,643,838 | D |
| 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 |
10. Ownership Form of Derivative Security: Direct (D) or Indirect |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Transaction(s) (Instr. 4) |
(I) (Instr. 4) |
||||||
| Convertible Promissory (3) Note |
\$0.1 | 08/10/2017 | (1) C |
\$150,000 | 11/10/2016 | 11/10/2017 | Common Stock |
1,500,000 | \$ 0 |
0 | D | ||||
| Convertible Promissory (3) Note |
\$0.1 | 08/10/2017 | (2) C |
\$250,000 | 02/24/2017 | 08/24/2017 | Common Stock |
2,500,000 | \$ 0 |
0 | D |
(1) Pursuant to the terms of the Convertible Note, the Reporting Person acquired (i) 1,500,000 shares of Common Stock upon conversion of \$150,000 in principal amount of the Convertible Note, and (ii) 63,123 shares of Common Stock in accrued and previously unpaid interest thereon (\$6,312.33).
(2) Pursuant to the terms of the Convertible Note, the Reporting Person acquired (i) 2,500,000 shares of Common Stock upon conversion of \$250,000 in principal amount of the Convertible Note, and (ii) 63,699 shares of Common Stock in accrued and previously unpaid interest thereon (6,369.86).
(3) The derivative security was previously subject to a "blocker" pursuant to which the reporting person was unable to convert the derivative security to the extent such conversion would result in the reporting person owning more than 4.99%.
Adam Logal, Chief Financial Officer 08/14/2017
**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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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