Statement of Changes in Beneficial Ownership (4)
June 04 2014 - 4:02PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Freund John Gordon
|
2. Issuer Name
and
Ticker or Trading Symbol
XENOPORT INC
[
XNPT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
525 UNIVERSITY AVENUE, STE. 520, C/O SKYLINE VENTURES
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/3/2014
|
(Street)
PALO ALTO, CA 94301
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common stock
|
6/3/2014
|
|
P
|
|
12500
|
A
|
$3.9331
(1)
|
22633
(2)
|
I
|
Beneficial Ownership
|
Common stock
|
|
|
|
|
|
|
|
21200
(3)
|
I
|
Beneficial Ownership
|
Common stock
|
|
|
|
|
|
|
|
489469
(4)
|
I
|
Through Fund
|
Common stock
|
|
|
|
|
|
|
|
3645
(5)
|
I
|
Beneficial Ownership
|
Common stock
|
|
|
|
|
|
|
|
3080
(6)
|
I
|
Beneficial Ownership
|
Common stock
|
|
|
|
|
|
|
|
27
(7)
|
I
|
Beneficial Ownership
|
Common stock
|
|
|
|
|
|
|
|
8899
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
The range of prices for this open market purchase transaction is $3.91 to $3.94. Upon request by the SEC staff, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.
|
(
2)
|
The shares are owned by a retirement account of which John G. Freund is the beneficiary.
|
(
3)
|
The shares are owned by a revocable trust of which John G. Freund is a trustee.
|
(
4)
|
These shares are held by multiple entities. 22 shares are held by Skyline Venture Partners III, L.P., 887 shares are held by Skyline Venture Partners Qualified Purchasers Fund III, L.P., 227 shares are held by Skyline Venture Management III, L.L.C. and 488,333 shares are held by Skyline Venture Partners V, L.P. John G. Freund is connected to each of these entities as managing director or managing member either directly or through indirect ownership and in such capacity may be deemed to have voting and investment power with respect to shares held by each of these entities. John G. Freund disclaims beneficial ownership of such securities, except to the extent of his proportionate partnership interest therin.
|
(
5)
|
The shares are held by the Paul Brooke 1989 Insurance Trust of which John G. Freund is a trustee.
|
(
6)
|
The shares are held by John G. Freund as custodian for his two sons.
|
(
7)
|
The shares are held by John G. Freund Family Partnership IV, L.P. John G. Freund disclaims beneficial ownership of such securities, except to the extent of his proportionate partnership interest therin.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Freund John Gordon
525 UNIVERSITY AVENUE, STE. 520
C/O SKYLINE VENTURES
PALO ALTO, CA 94301
|
X
|
|
|
|
Signatures
|
/s/ Stephanie L. Arata Attorney-in-fact
|
|
6/4/2014
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Xenoport, Inc. (NASDAQ:XNPT)
Historical Stock Chart
From Mar 2024 to Apr 2024
Xenoport, Inc. (NASDAQ:XNPT)
Historical Stock Chart
From Apr 2023 to Apr 2024