Statement of Changes in Beneficial Ownership (4)
July 02 2013 - 4:36PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
*
TREU JESSE I
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2. Issuer Name
and
Ticker or Trading Symbol
Esperion Therapeutics, Inc.
[
ESPR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O DOMAIN ASSOCIATES, LLC, ONE PALMER SQUARE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/1/2013
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(Street)
PRINCETON, NJ 08542
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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7/1/2013
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C
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1786012
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A
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(1)
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1786012
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I
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By Domain Partners VII, L.P.
(4)
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Common Stock
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7/1/2013
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P
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280923
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A
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$14.00
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2066935
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I
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By Domain Partners VII, L.P.
(4)
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Common Stock
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7/1/2013
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C
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30462
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A
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(1)
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30462
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I
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By DP VII Associates, L.P.
(4)
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Common Stock
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7/1/2013
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P
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4791
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A
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$14.00
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35253
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I
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By DP VII Associates, L.P.
(4)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Series A Preferred Stock
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(1)
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7/1/2013
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C
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1786012
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(1)
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(1)
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Common Stock
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1786012
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$0
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0
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I
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By Domain Partners VII, L.P.
(4)
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Warrant to Purchase Series A Preferred Stock
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$1.00
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7/1/2013
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J
(2)
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489320
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(2)
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(2)
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Series A Preferred Stock
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489320
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$0
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0
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I
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By Domain Partners VII, L.P.
(4)
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Warrant to Purchase Common Stock
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$6.99
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7/1/2013
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J
(2)
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70042
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(3)
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2/12/2018
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Common Stock
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70042
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$0
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70042
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I
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By Domain Partners VII, L.P.
(4)
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Series A Preferred Stock
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(1)
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7/1/2013
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C
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30462
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(1)
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(1)
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Common Stock
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30462
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$0
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0
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I
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By DP VII Associates, L.P.
(4)
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Warrant to Purchase Series A Preferred Stock
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$1.00
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7/1/2013
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J
(2)
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8346
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(2)
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(2)
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Series A Preferred Stock
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8346
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$0
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0
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I
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By DP VII Associates, L.P.
(4)
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Warrant to Purchase Common Stock
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$6.99
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7/1/2013
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J
(2)
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1193
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(3)
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2/12/2018
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Common Stock
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1193
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$0
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1193
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I
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By DP VII Associates, L.P.
(4)
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Explanation of Responses:
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(
1)
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All outstanding shares of Series A Preferred Stock were automatically converted into Common Stock upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration.
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(
2)
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Upon the closing of the IPO the Warrants to purchase Series A Preferred Stock automatically converted on a 6.986-for-1 basis into Warrants to purchase Common Stock, and the exercise price automatically adjusted to $6.99 per share, pursuant to the terms of such Warrants. This transaction is reported on Form 4 solely for the purpose of reflecting such changes.
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(
3)
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The Warrant is immediately exercisable.
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(
4)
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The Reporting Person also indirectly beneficially owns 21,471 shares of Common Stock held by Domain Associates, LLC. The Reporting Person is a Managing Member of (i) One Palmer Square Associates VII, LLC, which is the sole general partner of Domain Partners VII, L.P. and DP VII Associates, L.P. and (ii) Domain Associates, LLC. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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TREU JESSE I
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON, NJ 08542
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X
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Signatures
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/s/Kathleen K. Schoemaker, Attorney-in-Fact
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7/2/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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