FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
METABOLIX, INC. [ MBLX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/30/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 10/30/2014 | C | 2,000,000(1) | A | (1) | 4,000,000 | I | See footnote(2)(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Series B Convertible Preferred Stock | (4) | 10/30/2014 | C | 2,000(1)(4) | (4) | (4) | Common Stock | 2,000,000(1) | (1)(4) | 0 | I | See footnote(2)(3) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. The total represents shares received upon conversion of shares of the Issuer's Series B Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"). |
2. Birchview Partners, LLC (the "Manager") is a member of Birchview Capital GP, LLC (the "GP"), which is the general partner of Birchview Capital, LP (the "Investment Manager"), the Investment Manager of Birchview Fund, LLC (the "Fund"). The Manager disclaims Section 16 beneficial ownership of the shares of Common Stock and Preferred Stock held by the Fund (collectively, the "Fund Shares") and this report shall not be deemed an admission that such reporting person is the beneficial owner of such Fund Shares, except to the extent of its pecuniary interest, if any, in the Fund Shares by virtue of its membership interest in the Fund. The GP and Investment Manager disclaim Section 16 beneficial ownership of the Fund Shares and this report shall not be deemed an admission that such reporting persons are the beneficial owners of such Fund Shares, except to the extent of their pecuniary interest, if any, in the Fund Shares by virtue of their management fee interest in the Fund. |
3. Matthew Strobeck, the sole member of the GP, serves as the representative of the GP, the Investment Manager and the Fund on the Issuer's board of directors. |
4. Effective upon the filing of an amendment to the Issuer's certificate of incorporation to increase the number of shares of the Issuer's authorized Common Stock to not less than 150,000,000, each share of Preferred Stock automatically converted into 1,000 shares of Common Stock as shown in Table II, column 7. The shares of Preferred Stock had no expiration date. |
Remarks: |
BIRCHVIEW FUND, LLC, /s/ Richard McCormick | 11/03/2014 | |
BIRCHVIEW CAPITAL, LP, /s/ Richard McCormick | 11/03/2014 | |
BIRCHVIEW CAPITAL GP, LLC, /s/ Richard McCormick | 11/03/2014 | |
BIRCHVIEW PARTNERS, LLC, /s/ Richard McCormick | 11/03/2014 | |
** Signature of Reporting Person | Date | |
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 Number. |