Sec Form 4 Filing - Innoviva, Inc. @ Armata Pharmaceuticals, Inc. - 2021-03-17

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Innoviva, Inc.
2. Issuer Name and Ticker or Trading Symbol
Armata Pharmaceuticals, Inc. [ ARMP]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
1350 OLD BAYSHORE HIGHWAY SUITE 400
3. Date of Earliest Transaction (MM/DD/YY)
03/17/2021
(Street)
BURLINGAME, CA94010
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 ( 1 ) ( 2 ) 03/17/2021 P 4,285,935 A $ 3.25 6,153,847 I See Footnotes ( 1 ) ( 2 )
Common Stock 8,710,800 D ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 to Purchase Common Stock ( 1 ) ( 2 ) $ 3.25 03/17/2021 P 4,285,935 03/17/2021 03/17/2026 Common Stock 4,285,935 $ 3.25 6,153,847 I See Footnotes ( 1 ) ( 2 )
Warrants to Purchase Common Stock $ 2.87 ( 3 ) ( 3 ) Common Stock ( 3 ) 8,710,800 D ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Innoviva, Inc.
1350 OLD BAYSHORE HIGHWAY SUITE 400
BURLINGAME, CA94010
X X
Innoviva Strategic Opportunities LLC
1350 OLD BAYSHORE HIGHWAY SUITE 400
BURLINGAME, CA94010
X X
Signatures
INNOVIVA, INC.; By: /s/ Pavel Raifeld; Chief Executive Officer 03/17/2021
Signature of Reporting Person Date
INNOVIVA STRATEGIC OPPORTUNITIES LLC, By INNOVIVA, INC. (ITS MANAGING MEMBER), By: /s/ Pavel Raifeld, Name: Pavel Raifeld, Title: Chief Executive Officer 03/17/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )See Ex. 99.1.
( 2 )See Ex. 99.1.
( 3 )See Ex. 99.1.

Remarks:
Exhibit List:Exhibit 99.1 - Explanation of Responses

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