AFFYMAX INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows, 11 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-03-02: Reporting owner CREDIT SUISSE/; Form 4; Security Warrants to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2006-12-19: Reporting owner GALAKATOS NICHOLAS; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2006-12-19: Reporting owner MPM ASSET MANAGEMENT INVESTORS 2001 LLC | EVNIN LUKE | MPM ASSET MANAGEMENT II LP | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | STEINMETZ MICHAEL | MPM ASSET MANAGEMENT II LLC | WHEELER KURT | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | MPM BIOVENTURES II LP; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2006-12-19: Reporting owner MPM BIOVENTURES III LLC | MPM BIOVENTURES III GP LP | MPM BioVentures Strategic Fund LP | SIMON NICHOLAS J III | HENNER DENNIS; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-03-02 | CREDIT SUISSE/ 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +423,971 423,971 owned after | $0.13 | 2009-03-04 | |
| 2006-12-19 | GALAKATOS NICHOLAS Director, 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −107,266 0 owned after | $17.00 exercise price | 2006-12-21 | |
| 2006-12-19 | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | EVNIN LUKE | MPM ASSET MANAGEMENT II LP | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | STEINMETZ MICHAEL | MPM ASSET MANAGEMENT II LLC | WHEELER KURT | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | MPM BIOVENTURES II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −107,266 0 owned after | $17.00 exercise price | 2006-12-21 | |
| 2006-12-19 | MPM BIOVENTURES III LLC | MPM BIOVENTURES III GP LP | MPM BioVentures Strategic Fund LP | SIMON NICHOLAS J III | HENNER DENNIS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −107,266 0 owned after | $17.00 exercise price | 2006-12-21 | |
| 2006-12-19 | APAX MANAGERS INC 10% Owner | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −91,943 0 owned after | $17.00 exercise price | 2006-12-20 | |
| 2006-12-19 | Apax Europe V GP Co.LTD | APAX PARTNERS EUROPE MANAGERS LTD 10% Owner | 10% Owner | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −76,620 0 owned after | $17.00 exercise price | 2006-12-20 | |
| 2006-12-14 holding as of filing | GALAKATOS NICHOLAS Director, 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · See Footnote | Holding | $17.00 exercise price | 2006-12-14 | ||
| 2006-12-14 holding as of filing | HENNER DENNIS | MPM BIOVENTURES III GP LP | SIMON NICHOLAS J III | MPM BioVentures Strategic Fund LP | MPM BIOVENTURES III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · See Footnote | Holding | $17.00 exercise price | 2006-12-14 | ||
| 2006-12-14 holding as of filing | MPM ASSET MANAGEMENT II LLC | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | WHEELER KURT | STEINMETZ MICHAEL | EVNIN LUKE | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | MPM BIOVENTURES II LP | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | MPM ASSET MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · See Footnote | Holding | $17.00 exercise price | 2006-12-14 | ||
| 2006-12-14 holding as of filing | APAX MANAGERS INC 10% Owner | 3 | Warrant (Right to Buy) Derivative · Indirect · See FN | Holding | $17.00 exercise price | 2006-12-14 | ||
| 2006-12-14 holding as of filing | Apax Europe V GP Co.LTD | APAX PARTNERS EUROPE MANAGERS LTD 10% Owner | 10% Owner | 3 | Warrant (Right to Buy) Derivative · Indirect · See FN | Holding | $17.00 exercise price | 2006-12-14 |