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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 | |
FRIEDLI PETER C/O OSIRIS THERAPEUTICS, INC. 7015 ALBERT EINSTEIN DRIVE COLUMBIA, MD 21046 |
X | X | Chairman |
Peter Friedli | 01/21/2014 | |
**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) | The Reporting Person previously reported an indirect beneficial interest in 4,103,301 shares of common stock held by Venturetec, Inc., 500,000 shares held by his minor daughter and 2,750 shares held by his spouse. The Reporting Person holds approximately 2% interest in the parent of Venturetec, Inc. and serves as president of Venturetec, Inc. |
(2) | On January 17, 2014, the Reporting Person purchased a convertible bond for a purchase price of $13,200,000, which entitles him to acquire approximately 19% additional interest in Venturetec, Inc. This Form 4 is being filed to reflect that purchase to the extent of any corresponding increase in the pecuniary interest of the Reporting Person in the shares held by Venturetec, Inc. The Reporting Person previously reported beneficial ownership of all shares of common stock held by Venturetec, Inc. and therefor there is no change in the number of shares reported in Table 1 above. The Reporting Person disclaims beneficial interest in the shares held by his daughter and spouse, and disclaims beneficial interest in the shares held by Venturetec, Inc., including beyond the extent of his pecuniary interest therein. |