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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 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 | |
China Grand Pharmaceutical & Healthcare Holdings Ltd C/O CHAO ZHOU, UNIT 3302, 33/F, THE CENTER, 99 QUEEN'S ROAD CENTRAL HONG KONG |
X | |||
Grand Decade Developments Ltd C/O CHAO ZHOU, UNIT 3302, 33/F, THE CENTER, 99 QUEEN'S ROAD CENTRAL HONG KONG |
X | See Remarks | ||
Sirtex Medical US Holdings, Inc. 300 UNICORN PARK DRIVE WOBURN, MA 01801 |
X | See Remarks |
/s/ Caterina Benson by Power of Attorney for China Grand Pharmaceutical and Healthcare Holdings Limited | 04/26/2021 | |
**Signature of Reporting Person | Date | |
/s/ Caterina Benson by Power of Attorney for Grand Decade Developments Limited | 04/26/2021 | |
**Signature of Reporting Person | Date | |
/s/ Caterina Benson by Power of Attorney for Sirtex Medical US Holdings, Inc. | 04/26/2021 | |
**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) | Securities held by Grand Decade Developments Limited, a wholly owned subsidiary of the Reporting Person. |
(2) | Securities held by Sirtex Medical US Holdings, Inc., an affiliate of the Reporting Person. The Reporting Person disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
Remarks: The Reporting Persons may be deemed to be members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of any securities deemed to be owned by the group that are not directly owned by the Reporting Person. This report shall not be deemed an admission that such Reporting Person is a member of a group or the beneficial owner of any securities not directly owned by such Reporting Person. |