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*
Eastern Capital LTD

(Last) (First) (Middle)
10 MARKET STREET, #773
CAMANA BAY

(Street)
GRAND CAYMAN E9 KY1-9006

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/09/2015
3. Issuer Name and Ticker or Trading Symbol
TAPIMMUNE INC [ TPIV ]
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 5,000,000(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
Series A-1 Warrant 03/09/2015 03/09/2020 Common Stock 5,000,000(1) 1.5 D
Series B-1 Warrant 03/09/2015(2) 09/09/2015 Common Stock 5,000,000(1) 0.4 D
Series C-1 Warrant 03/09/2015(3) 03/09/2020 Common Stock 5,000,000(1) 1 D
Series D-1 Warrant (4) (4) Common Stock 5,000,000(1) 0.75 D
Series E-1 Warrant (5) (5) Common Stock 5,000,000(1) 1.25 D
1. Name and Address of Reporting Person*
Eastern Capital LTD

(Last) (First) (Middle)
10 MARKET STREET, #773
CAMANA BAY

(Street)
GRAND CAYMAN E9 KY1-9006

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Portfolio Services Ltd.

(Last) (First) (Middle)
10 MARKET STREET, # 773
CAMANA BAY

(Street)
GRAND CAYMAN E9 KY1-9006

(City) (State) (Zip)
1. Name and Address of Reporting Person*
DART KENNETH BRYAN

(Last) (First) (Middle)
P.O. BOX 31300

(Street)
GRAND CAYMAN E9 KY1-1206

(City) (State) (Zip)
Explanation of Responses:
1. The reported securities are included within 5,000,000 Units, each Unit consisting of one share of common stock, one Series A-1 Warrant, one Series B-1 Warrant, one Series C-1 Warrant, one Series D-1 Warrant and one Series E-1 Warrant.
2. The Issuer may force the exercise of Series B-1 warrant in the event that the closing price of the common stock is above $0.70 for 20 consecutive trading days (subject to certain conditions including minimum trading volume requirements).
3. The Issuer may force the exercise of Series C-1 warrant in the event that the closing price of the common stock is above $1.50 for 20 consecutive trading days (subject to certain conditions including minimum trading volume requirements).
4. Each Series D-1 warrant will be exercisable only if and to the extent that the Series B-1 warrants are exercised and will expire on the five year anniversary of the date that the Series B-1 warrant is initially exercised.
5. Series E-1 warrant will be exercisable only if and to the extent that the Series C-1 warrants are exercised, and will expire on the five year anniversary of the date that the Series C-1 warrant is initially exercised.
Remarks:
Eastern Capital Limited is an investment entity that owns the securities reported on this Form 3. Portfolio Services Ltd. is a holding company which owns all of the outstanding stock of Eastern Capital Limited. Kenneth B. Dart is the beneficial owner of all of the outstanding stock of Portfolio Services Ltd.
/s/ Eastern Capital Limited 03/17/2015
/s/ Portfolio Services Ltd. 03/17/2015
/s/ Kenneth B. Dart 03/17/2015
** 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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