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SOLIGENIX, INC. — Director's Dealing 2013
Jun 26, 2013
35119_dirs_2013-06-26_ee7887df-2dfe-40f2-be12-f488a9881df5.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: SOLIGENIX, INC. (SNGX)
CIK: 0000812796
Period of Report: 2013-06-20
Reporting Person: KIRK RANDAL J (10% Owner)
Reporting Person: INTREXON CORP (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3333333 | Indirect |
| Common Stock | 1034483 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant to Purchase Common Stock | $1.65 | 2018-06-19 | Common Stock (2500000) | Indirect |
Footnotes
F1: Shares and warrants were purchased from the issuer in a public offering on June 20, 2013.
F2: Randal J. Kirk controls NRM VII Holdings I, LLC ("NRM VII Holdings"). Shares held by this entity may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
F3: Shares were issued as partial consideration in connection with an Exclusive Channel Collaboration Agreement dated April 27, 2013 between the issuer and Intrexon Corporation pursuant to a Stock Issuance Agreement dated April 27, 2013 between the issuer and Intrexon Corporation.
F4: Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon Corporation. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon Corporation. Shares held by Intrexon Corporation may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.