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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Avigen (MM) | NASDAQ:AVGN | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 1.32 | 0 | 01:00:00 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. __)*
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
þ Rule 13d-1(b)
o Rule 13d-1(c)
o Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No.
|
053690103
|
1 |
NAMES OF REPORTING PERSONS
Southpaw Credit Opportunity Master Fund LP |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Cayman Islands | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 3,436,831 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 3,436,831 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,436,831 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
11.5% | |||||
12 | TYPE OF REPORTING PERSON | ||||
PN |
CUSIP No.
|
053690103
|
1 |
NAMES OF REPORTING PERSONS
Southpaw Asset Management LP |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 3,774,326 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 3,774,326 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,774,326 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
12.7% | |||||
12 | TYPE OF REPORTING PERSON | ||||
PN |
CUSIP No.
|
053690103
|
1 |
NAMES OF REPORTING PERSONS
Southpaw Holdings LLC |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 3,774,326 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 3,774,326 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,774,326 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
12.7% | |||||
12 | TYPE OF REPORTING PERSON | ||||
OO |
CUSIP No.
|
053690103
|
1 |
NAMES OF REPORTING PERSONS
Kevin Wyman |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 3,774,326 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 3,774,326 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,774,326 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
12.7% | |||||
12 | TYPE OF REPORTING PERSON | ||||
IN |
CUSIP No.
|
053690103
|
1 |
NAMES OF REPORTING PERSONS
Howard Golden |
||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 3,774,326 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 3,774,326 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
3,774,326 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
12.7% | |||||
12 | TYPE OF REPORTING PERSON | ||||
IN |
Item 3 |
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether
the person filing is a:
|
(a) | o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
|
|||
(b) | o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
|
|||
(c) | o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
|
|||
(d) | o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15
U.S.C. 80a-8).
|
|||
(e) | þ |
An investment advisor in accordance with §240.13d-1(b)(1)(ii)(E).
|
|||
(f) | o |
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).
|
|||
(g) | o |
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).
|
|||
(h) | o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act
(12 U.S.C. 1813).
|
|||
(i) | o |
A church plan that is excluded from the definition of an investment company under
Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).
|
|||
(j) | o |
Group, in accordance with §240.13d-1(b)(1)(ii)(J).
|
(a) |
The Fund may be deemed the
beneficial owner of 3,436,831 shares
of Common Stock it holds. Southpaw may be deemed the beneficial owner of
3,774,326 shares of Common Stock held by the Fund and the Managed Accounts.
|
||
(b) |
The Fund may be deemed the beneficial owner of 11.5%, and Southpaw may be deemed the beneficial owner of 12.7%, of the Issuers
outstanding shares of Common Stock, which such percentages were calculated by
dividing (i) 3,436,831 (the number of shares of Common Stock held by the Fund)
and 3,774,326 (the number of shares of Common Stock held by the Fund and the
Managed Accounts), respectively, by (ii) 29,831,115 (the number of shares of
Common Stock issued and outstanding as of August 5, 2009 as reported in the
Issuers most recent Form 10-Q filed on August 10, 2009).
|
||
(c) |
Southpaw has the power
to vote and dispose of the 3,774,326 shares of Common Stock held by
the Fund and the Managed Accounts. The Fund has the
power to vote and dispose of the 3,436,831 shares of Common Stock it holds.
|
Item 7 |
Identification and Classification of the Subsidiary which Acquired the Security Being
Reported On by the Parent Holding Company.
|
Southpaw Credit Opportunity Master Fund LP
|
||||
By: | Southpaw GP LLC, its general partner | |||
By: | /s/ Howard Golden | |||
Name: | Howard Golden | |||
Title: | Managing Member | |||
Southpaw Asset Management LP
|
||||
By: | Southpaw Holdings LLC, its general partner | |||
By: | /s/ Howard Golden | |||
Name: | Howard Golden | |||
Title: | Managing Member | |||
Southpaw Holdings LLC
|
||||
By: | /s/ Howard Golden | |||
Name: | Howard Golden | |||
Title: | Managing Member | |||
/s/ Kevin Wyman | ||||
Kevin Wyman | ||||
/s/ Howard Golden | ||||
Howard Golden |
Exhibit | ||
No. | Description | |
Exhibit 1 |
Joint Filing Agreement by and among the Reporting Persons.
|
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