INTERLEUKIN GENETICS INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 51 rows, 51 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-07-29: Reporting owner ALTICOR INC | PYXIS INNOVATIONS INC | SOLSTICE HOLDINGS INC | Alticor Global Holdings Inc.; Form 4; Security Common Stock Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-07-29: Reporting owner Weller Harry R; Form 4; Security Common Stock Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-07-29: Reporting owner Viswanathan Ravi; Form 4; Security Common Stock Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-07-29: Reporting owner Sonsini Peter W.; Form 4; Security Common Stock Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-07-29 | ALTICOR INC | PYXIS INNOVATIONS INC | SOLSTICE HOLDINGS INC | Alticor Global Holdings Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,030,181 5,030,181 owned after | $0.10 exercise price | 2016-08-03 | |
| 2016-07-29 | Weller Harry R 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | Viswanathan Ravi 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | Sonsini Peter W. 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | SANDELL SCOTT D 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | MOTT DAVID M 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | KERINS PATRICK J 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | Florence Anthony A. Jr. 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | BASKETT FOREST 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | BARRIS PETER J 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | BARRETT M JAMES 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | New Enterprise Associates 14, L.P. | NEA 14 GP, LTD | NEA Partners 14, L.P. | Growth Equity Opportunities Fund III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,120,724 20,120,724 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | Bay City Capital Management V LLC | BAY CITY CAPITAL LLC | Bay City Capital Fund V, L.P. | Bay City Capital Fund V Co-Investment Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +29,616,700 29,616,700 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | Bay City Capital Management V LLC | BAY CITY CAPITAL LLC | Bay City Capital Fund V, L.P. | Bay City Capital Fund V Co-Investment Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +564,386 564,386 owned after | $0.10 exercise price | 2016-08-02 | |
| 2016-07-29 | WEAVER JAMES M Director | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +100,603 100,603 owned after | $0.10 exercise price | 2016-08-01 | |
| 2016-07-29 | KORNMAN KENNETH S Director, Officer (President and CSO) | 4 | Common Stock Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +25,150 25,150 owned after | $0.10 exercise price | 2016-08-01 | |
| 2016-07-29 | DiPalma Stephen J. Officer (Interim CFO) | 4 | Common Stock Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,603 100,603 owned after | $0.10 exercise price | 2016-08-01 | |
| 2016-07-29 | Carbeau Mark B Director, Officer (Chief Executive Officer) | 4 | Common Stock Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,603 100,603 owned after | $0.10 exercise price | 2016-08-01 | |
| 2014-12-23 | DiPalma Stephen J. Officer (Interim CFO) | 4 | Common Stock Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +249,252 249,252 owned after | $0.10 exercise price | 2014-12-30 | |
| 2014-12-23 | BARRETT M JAMES 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | BARRIS PETER J 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | BASKETT FOREST 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | DRANT RYAN D 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | Florence Anthony A. Jr. 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | KERINS PATRICK J 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | MOTT DAVID M 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | SANDELL SCOTT D 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | Sonsini Peter W. 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | Viswanathan Ravi 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | Weller Harry R 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | NEA Partners 14, L.P. | Growth Equity Opportunities Fund III, LLC | New Enterprise Associates 14, L.P. | NEA 14 GP, LTD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +19,868,965 19,868,965 owned after | $0.10 exercise price | 2014-12-29 | |
| 2014-12-23 | Bay City Capital Fund V, L.P. | Bay City Capital Management V LLC | Bay City Capital Fund V Co-Investment Fund, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +25,996,552 25,996,552 owned after | $0.10 exercise price | 2014-12-24 | |
| 2014-12-23 | Bay City Capital Fund V, L.P. | Bay City Capital Management V LLC | Bay City Capital Fund V Co-Investment Fund, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +495,400 495,400 owned after | $0.10 exercise price | 2014-12-24 | |
| 2013-05-23 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | BARRIS PETER J 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | BASKETT FOREST 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | DRANT RYAN D 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | Florence Anthony A. Jr. 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | MOTT DAVID M 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | Sonsini Peter W. 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | Weller Harry R 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Note 1 | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-23 holding as of filing | NEA Partners 14, L.P. | New Enterprise Associates 14, L.P. | Growth Equity Opportunities Fund III, LLC | NEA 14 GP, LTD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Direct | Holding | $0.27 exercise price | 2013-05-23 | ||
| 2013-05-21 holding as of filing | Bay City Capital Fund V Co-Investment Fund, L.P. | Bay City Capital Management V LLC | Bay City Capital Fund V, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnotes | Holding | $0.27 exercise price | 2013-05-21 | ||
| 2013-05-21 holding as of filing | Bay City Capital Fund V Co-Investment Fund, L.P. | Bay City Capital Management V LLC | Bay City Capital Fund V, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnotes | Holding | $0.27 exercise price | 2013-05-21 | ||
| 2006-02-03 holding as of filing | REILLY PHILIP R Director, Officer (Chief Executive Officer) | 4 | Warrants to Buy Derivative · Direct | Holding | 0 owned after | $2.50 exercise price | 2006-02-03 |