SEC FORM 3 SEC Form 3
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
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1. Name and Address of Reporting Person*
Innoviva, Inc.

(Last) (First) (Middle)
1350 OLD BAYSHORE HIGHWAY SUITE 400

(Street)
BURLINGAME CA 94010

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/12/2020
3. Issuer Name and Ticker or Trading Symbol
Armata Pharmaceuticals, Inc. [ ARMP ]
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)
X Form filed by One Reporting Person
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 993,139(1) D
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)
Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants to Purchase Common Stock 02/12/2020 02/12/2025 Common Stock 993,139(1) 2.87 D
Explanation of Responses:
1. As reflected in the Schedule 13D filed by Innoviva, Inc. (the "Reporting Person") with the U.S. Securities and Exchange Commission on February 14, 2020 (the "Schedule 13D"), in connection with an initial closing that occurred on February 12, 2020 pursuant to a securities purchase agreement, dated as of January 27, 2020 (the "Purchase Agreement" and, such closing, the "Initial Closing"), by and between Armata Pharmaceuticals, Inc. (the "Issuer") and the Reporting Person, the Reporting Person acquired 993,139 shares of common stock of the Issuer ("Shares") and warrants to purchase an additional 993,139 Shares ("Warrants") as set forth in this Form 3. As a result of the Initial Closing, the Reporting Person beneficially owns 1,983,386 Shares. The Schedule 13D filed by the Reporting Person is incorporated by reference in this Form 3; any description herein of the Schedule 13D is qualified in its entirety by reference to the Schedule 13D so filed by the Reporting Person.
INNOVIVA, INC., By: /s/ Geoffrey Hulme 02/14/2020
** 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 5 (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).
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