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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Idm Pharma (MM) | NASDAQ:IDMI | 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% | 2.62 | 0 | 01:00:00 |
FORM 4
[
X
]
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
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OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
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Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person
*
PALO ALTO HEALTHCARE MASTER FUND, L.P. |
2. Issuer Name
and
Ticker or Trading Symbol
IDM PHARMA, INC. [ IDMI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
C/O CITCO FUND SERVICES (BERMUDA) LTD., WASHINGTON MALL WEST, 2ND FL., 7 REID ST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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HAMILTON, D0 HM 11 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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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 | 9/23/2009 | U | 2931029 | D | $2.64 | 0 | D (1) |
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) |
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 | ||||||||
Warrants (Right to buy) | $3.243 | 9/23/2009 | C | 265256 | 2/21/2007 | 2/20/2012 | Common Stock | 265256 | (2) | 0 | D (1) | ||||
Warrants (Right to buy) | $4.06 | 9/24/2009 | C | 116315 | 6/25/2007 | 6/25/2012 | Common Stock | 116315 | (2) | 0 | D (1) |
Explanation of Responses: | |
( 1) | Palo Alto Healthcare Master Fund, L.P. (the "Master Fund") held these securities directly on behalf of its investors. Palo Alto Healthcare Fund, L.P. is a limited partner in the Master Fund and, as such, indirectly held a portion of the Common Stock and Warrants reported on this Form 4 on behalf of its investors. |
( 2) | The Warrants held by the Master Fund were terminated in exchange for a cash payment equal to the Black-Scholes Value of such Warrants, calculated pursuant to the terms of such Warrants. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
PALO ALTO HEALTHCARE MASTER FUND, L.P.
C/O CITCO FUND SERVICES (BERMUDA) LTD. WASHINGTON MALL WEST, 2ND FL., 7 REID ST HAMILTON, D0 HM 11 |
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X |
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PALO ALTO HEALTHCARE FUND, L.P.
470 UNIVERSITY AVENUE PALO ALTO, CA 94301 |
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X |
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Signatures
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Palo Alto Healthcare Master Fund, L.P., by Palo Alto Investors, LLC, General Partner, by Palo Alto Investors, Manager, by Mark Shamia, Chief Operating Officer | 6/24/2009 | |
** Signature of Reporting Person |
Date
|
|
Palo Alto Healthcare Fund, L.P., by Palo Alto Investors, LLC, General Partner, by Palo Alto Investors, Manager, by Mark Shamia, Chief Operating Officer | 6/24/2009 | |
** Signature of Reporting Person |
Date
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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. |
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