SEC Form 4 · accession 0001140361-16-091123

Armata Pharmaceuticals, Inc. · ARMP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Dec 27, 2016

Accepted (ET)

Dec 29, 2016 · 9:36 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000921114

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Dec 27, 2016	S	26,308	$0.51	D	802,263	I	by NRM VII Holdings
Common Stock^F1,F2	Dec 28, 2016	S	44,170	$0.47	D	758,093	I	by NRM VII Holdings
Common Stock^F1,F2	Dec 29, 2016	S	21,923	$0.45	D	736,170	I	by NRM VII Holdings
Common Stock^F1,F3	Dec 27, 2016	S	24,092	$0.51	D	734,696	I	by Intrexon
Common Stock^F1,F3	Dec 28, 2016	S	40,450	$0.47	D	694,246	I	by Intrexon
Common Stock^F1,F3	Dec 29, 2016	S	20,077	$0.45	D	674,169	I	by Intrexon

No Table II lines on this filing.

F1Pursuant to a joint selling program, NRM VII Holdings I, LLC ("NRM VII Holdings") and Intrexon Corporation ("Intrexon") sold shares on a pro rata basis.
F2Randal J. Kirk controls 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.
F3Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon 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.