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*
KAYNE RICHARD A

(Last) (First) (Middle)
1900 AVENUE OF THE STARS, #1000

(Street)
LOS ANGELES CA 90067

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/18/2023
3. Issuer Name and Ticker or Trading Symbol
Eiger BioPharmaceuticals, Inc. [ EIGR ]
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 1,667,100 I See footnote.(1)(4)
Common Stock 2,700,000 I See footnote.(2)(4)
Common Stock 729,886 I See footnote.(3)(4)
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
Explanation of Responses:
1. Mr. Kayne shares control of Propel Bio Partners LLC, a Delaware limited liability company ("Propel General Partner"). Mr. Kayne and Propel General Partner act as the general partner of, or otherwise provide discretionary advisory services to, one or more private investment funds, and such investment funds directly own 1,667,100 shares of Common Stock.
2. Mr. Kayne provides discretionary advisory services to an investment company registered under the Investment Company Act of 1940, as amended, and such investment company directly owns 2,700,000 shares of Common Stock.
3. Mr. Kayne is the trustee and beneficiary of the Richard Kayne and Suzanne Kayne Living Trust dtd 01/14/1999, a California trust (the "Family Trust"), and The Family Trust directly owns 729,886 shares of Common Stock.
4. Mr. Kayne expressly disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of any pecuniary interest.
/s/ Richard A. Kayne 10/30/2023
** 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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