SEC Form 4 · accession 0001140361-15-014653
RESPONSE GENETICS INC · RGDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
SWIFTCURRENT OFFSHORE, LTD.
10% Owner
BRIDGER MANAGEMENT, LLC
10% Owner
Roberto Mignone
10% Owner
Period of report
Apr 3, 2015
Accepted (ET)
Apr 7, 2015 · 6:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001124608
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to buy)F1,F2,F3 | $0.37 | Apr 3, 2015 | J | 1,351,352 | A | Apr 3, 2015 | Apr 3, 2021 | Common Stock | 1,351,352 | 1,351,352 | I |
Explanation of responses
- F1The warrants were acquired in connection with the Second Amended Credit Agreement dated as of April 3, 2015 (the "Second Amended Credit Agreement") among the Issuer, as the borrower, and the parties thereto, including Swiftcurrent Offshore Master Ltd., as a lender. Swiftcurrent Offshore Ltd. invests substantially all of its assets in Swiftcurrent Offshore Master, Ltd. and may be deemed to share beneficial ownership of the securities owned by Swiftcurrent Offshore Master, Ltd. Pursuant to the Second Amended Credit Agreement, Swiftcurrent Offshore Master Ltd. provided the Issuer with a Term Loan Commitment of $551,000.
- F2Swiftcurrent Offshore Master, Ltd. is the owner of record of the warrants reported herein. As stated above, Swiftcurrent Offshore Ltd. invests substantially all of its assets in Swiftcurrent Offshore Master, Ltd. and may be deemed to share beneficial ownership of the securities owned by Swiftcurrent Offshore Master, Ltd. Bridger Management LLC is the investment adviser to Swiftcurrent Offshore Master Ltd. Mr. Mignone is the managing member of Bridger Management, LLC. Each of Bridger Management LLC and Mr. Mignone may be deemed to share beneficial ownership of the securities reported herein.
- F3Each reporting person and entity named herein disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein and this report shall not be deemed an admission that the reporting person or any entity named herein is the beneficial owner of the securities for purposes of Section 16, or for any other purpose.