Filing Details

Accession Number:
0001140361-11-017510
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-03-17 17:54:54
Reporting Period:
2011-03-15
Filing Date:
2011-03-17
Accepted Time:
2011-03-17 17:54:54
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1261734 Aeolus Pharmaceuticals Inc. AOLS Pharmaceutical Preparations (2834) 561953785
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1350855 Efficacy Capital, Ltd. 11622 El Camino Real, Suite 100
San Deigo CA 92130
No No Yes No
1366070 Ltd. Fund Master Biotech Efficacy 11622 El Camino Real
Suite 100
San Diego CA 92130
No No Yes No
1366071 Ltd Fund Biotech Efficacy 11622 El Camino Real
Suite 100
San Diego CA 92130
No No Yes No
1366073 L.p. Fund Biotech Efficacy 11622 El Camino Real
Suite 100
San Diego CA 92130
No No Yes No
1366074 Mark Lappe 11622 El Camino Real
Suite 100
San Diego CA 92130
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2011-03-15 193,234 $0.76 8,148,812 No 4 S Indirect See Footnote
Common Stock Disposition 2011-03-16 3,799,380 $0.61 4,349,432 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Common Stock Purchase Warrants (Right to Buy) Disposition 2011-03-16 2,541,000 $0.61 2,541,000 $0.75
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,235,281 2006-06-05 2011-06-05 No 4 S Indirect
Footnotes
  1. These shares are owned directly by Efficacy Biotech Master Fund Ltd. The Reporting Person acts as an investment adviser with investment and voting discretion over portfolio investments. The Reporting Person is an indirect beneficial owner of the reported securities.
  2. The securities were sold in a block transaction in which shares of common stock and certain warrants to purchase common stock were sold for a price of $.61 per share of common stock.
  3. The warrant is exercisable at any time provided that such date is no later than the expiration date of the warrant.