Major Shareholding Notification • Aug 5, 2017
Major Shareholding Notification
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Washington, D.C. 20549
| OMB Number: | 3235-0104 |
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
| 1. Name and Address of Reporting Person OPKO Health, Inc. |
2. Date of Event Requiring Statement (Month/Day/Year) |
3. Issuer Name and Ticker or Trading Symbol Sevion Therapeutics, Inc. [SVON] |
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|---|---|---|---|---|---|---|---|---|---|
| (Last) 4400 Biscayne Blvd. |
(First) | (Middle) | 07/28/2017 | 4. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
5. If Amendment, Date Original Filed(Month/Day/Year) |
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| (Street) Miami |
FL | 33137 | _ Director _ Officer (give title below) |
X 10% Owner ____ Other (specify below) |
6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person |
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| (City) | (State) | (Zip) | ____ Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned | |||||||||
| 1.Title of Security (Instr. 4) |
Owned (Instr. 4) |
2. Amount of Securities Beneficially | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership | ||||
| Common Stock | 10,517,016 | D |
Table II - Derivative Securities Beneficially Owned ( e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative |
5. Ownership Form of Derivative |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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|---|---|---|---|---|---|---|---|
| Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Security | Security: Direct (D) or Indirect (I) (Instr. 5) |
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| (1) 0% Series C Convertible Perferred |
(2) | (2) | Common Stock |
1,250,007 | \$0.4 | D | |
| (3) Warrant (Right to Buy) |
05/16/2014 | 05/16/2019 | Common Stock |
6,741 | \$2 | D | |
| (1) Warrant (Right to Buy) |
07/27/2015 | 01/27/2018 | Common Stock |
333,333 | \$1.5 | D | |
| (1) Convertible Promissory Note |
02/24/2017 | 08/24/2017 | Common Stock |
2,500,000 | \$0.1 | D | |
| (1) Convertible Promissory Note |
11/10/2016 | 11/10/2017 | Common Stock |
1,500,000 | \$0.1 | D |
Adam Logal, Chief Financial Officer 08/04/2017 **Signature of Reporting Person Date
* If the form is filed by more than one reporting person, see Instruction 5(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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