13D Filing: Ronin Capital, LLC and Peregrine Pharmaceuticals Inc (PPHM)

Page 4 of 11

Page 4 of 11 – SEC Filing

 

CUSIP No.  713661403

 

 

1.

Names of Reporting Person.
Stephen White

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
PF

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization:
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power:
11,800(3)

 

8.

Shared Voting Power:
0

 

9.

Sole Dispositive Power:
11,800(3)

 

10.

Shared Dispositive Power:
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person:
11,800(3)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11):
0.7%

 

 

14.

Type of Reporting Person (See Instructions):
IN

 


(3)                                 Stephen White is the indirect beneficial owner of all of the shares of Series E Convertible Preferred Stock of Peregrine Pharmaceuticals, Inc. held of record by SW Investment Management LLC and SWIM Partners LP by virtue of his having sole voting and dispositive power over such shares.

 

4


Follow Avid Bioservices Inc. (NASDAQ:CDMO)

Page 4 of 11