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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EDDLEMAN ROY T C/O TROYGOULD PC 1801 CENTURY PARK EAST, 16TH FLOOR LOS ANGELES, CA 90067 |
X |
/s/ Istvan Benko, Attorney-in-Fact for Roy T. Eddleman | 12/28/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On December 27, 2017, the reporting person contributed 480,000 and 900,000 shares, respectively, of RGEN common stock to separate charitable remainder unit trusts of which the reporting person is the trustee and a lifetime beneficiary. |
(2) | The RGEN shares shown are held for the benefit of the reporting person in an escrow account established in connection with the Issuer's acquisition of Spectrum, Inc. on August 1, 2017, and are subject to potential indemnification claims of the Issuer relating to the acquisition. |
(3) | Of the RGEN shares 3,044,826 are owned of record by the Roy T. Eddleman Living Trust UAD 8-7-2000, of which the reporting person is the sole trustee. The reporting person continues to report beneficial ownership of the RGEN shares contributed to the trusts referred to in note (1), but disclaims beneficial ownership of the trusts' shares except to the extent of his pecuniary interest therein. |