Form 3 MANNKIND CORP For: Feb 25 Filed by: Mann Group, LLC

Article Stock Quotes (1)

FREE Breaking News Alerts from StreetInsider.com!

StreetInsider.com Top Tickers, 4/16/2024

1. SPY
2. TSLA
3. AMD
4. BK
5. JNJ

6. ITCI
7. GS
8. BAC
9. MS
10. UNH

Top News Most Read Special Reports

May 23, 2017 9:01 PM EDT

E-mail

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:		3235-0104
Expires:	December 31, 2014
Estimated average burden
hours per response:		0.5

1. Name and Address of Reporting Person ^*

Alfred E. Mann Living Trust

(Last)

(First)

(Middle)

12744 SAN FERNANDO ROAD

(Street)

SYLMAR

91342

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/25/2016

3. Issuer Name and Ticker or Trading Symbol
MANNKIND CORP [ MNKD ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	8,398,187 ⁽¹⁾	D
Common Stock	17,930,450 ⁽¹⁾	I	See footnote ⁽²⁾
Common Stock	805,196 ⁽¹⁾	I	See footnote ⁽³⁾
Common Stock	481,206 ⁽¹⁾	I	See footnote ⁽⁴⁾
Common Stock	2,194 ⁽¹⁾	I	See footnote ⁽⁵⁾

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/15/2017	Common Stock	16,060 ⁽¹⁾	46.1 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	86,000 ⁽¹⁾	19 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	32,000 ⁽¹⁾	37.4 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	43,000 ⁽¹⁾	29.65 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	43,280 ⁽¹⁾	18.5 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	75,000 ⁽¹⁾	12.05 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	200,000 ⁽¹⁾	8.45 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	72,624 ⁽¹⁾	11.6 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	25,000 ⁽¹⁾	29.45 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	17,325 ⁽¹⁾	35.45 ⁽⁷⁾	I	See footnote ⁽⁸⁾
Employee Stock Options (Right to Buy)	⁽⁶⁾	08/26/2017	Common Stock	120,000 ⁽¹⁾	34.25 ⁽⁷⁾	I	See footnote ⁽⁸⁾

Explanation of Responses:

1. Reflects securities beneficially owned as of February 25, 2016, as adjusted for the 1-for-5 reverse stock split effected by the Issuer on March 2, 2017.

2. Held of record by Mann Group, LLC. The Alfred E. Mann Living Trust is the sole manager and member of Mann Group, LLC.

3. Held of record by Biomed Partners, LLC. The Alfred E. Mann Living Trust is a managing member of Biomed Partners, LLC.

4. Held of record by Biomed Partners II, LLC. The Alfred E. Mann Living Trust is a managing member of Biomed Partners II, LLC.

5. Held of record by Mannco LLC. The Alfred E. Mann Living Trust is the sole manager and member of Mannco LLC.

6. The stock option is immediately exercisable. Represents the number of shares which were vested on February 25, 2016, the date of the death of the optionholder, Mr. Alfred E. Mann.

7. The exercise price has been adjusted to reflect the 1-for-5 reverse stock split effected by the Issuer on March 2, 2017

8. Following the death of Alfred E. Mann, the securities are beneficially owned by the Alfred E. Mann Living Trust.

	/s/ Anoosheh Bostani and /s/ Michael S. Dreyer, Trustees of the Alfred E. Mann Living Trust	05/22/2017
	** Signature of Reporting Person	Date
	/s/ Anoosheh Bostani and /s/ Michael S. Dreyer, Trustees of the Alfred E. Mann Living Trust, Manager of Mann Group, LLC	05/22/2017
	** 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.

Serious News for Serious Traders! Try StreetInsider.com Premium Free!

Create E-mail Alert Related Categories

SEC Filings

Sign up for StreetInsider Free!

Receive full access to all new and archived articles, unlimited portfolio tracking, e-mail alerts, custom newswires and RSS feeds - and more!

Form 3 MANNKIND CORP For: Feb 25 Filed by: Mann Group, LLC

You May Also Be Interested In

Create E-mail Alert Related Categories

Sign up for StreetInsider Free!

Free News Feed