Filing Details

Accession Number:
0001181431-13-022601
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-04-17 21:41:43
Reporting Period:
2013-04-16
Filing Date:
2013-04-17
Accepted Time:
2013-04-17 21:41:43
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1477598 Omthera Pharmaceuticals Inc. OMTH Pharmaceutical Preparations (2834) 263797738
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1452907 New Enterprise Associates 13 Lp 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1460751 Nea 13 Gp, Ltd 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1460752 Nea Partners 13, Limited Partnership 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-04-16 156,250 $0.01 156,250 No 4 C Direct
Common Stock Disposition 2013-04-16 196 $8.00 156,054 No 4 S Direct
Common Stock Acquisiton 2013-04-16 633,219 $8.00 789,273 No 4 C Direct
Common Stock Acquisiton 2013-04-16 4,418,940 $0.00 5,208,213 No 4 C Direct
Common Stock Acquisiton 2013-04-16 625,000 $8.00 5,833,213 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 S Direct
No 4 C Direct
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant (right to buy) Disposition 2013-04-16 156,250 $0.00 156,250 $0.01
Common Stock Secured Convertible Promissory Note Disposition 2013-04-16 633,219 $0.00 633,219 $8.00
Common Stock Series B Preferred Stock Disposition 2013-04-16 6,165,747 $0.00 4,418,940 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2013-04-16 2023-02-15 No 4 C Direct
0 2013-04-16 2014-02-15 No 4 C Direct
0 No 4 C Direct
Footnotes
  1. Effective upon the closing of the Issuer's initial public offering ("IPO") of its Common Stock, New Enterprise Associates 13, L.P.'s ("NEA 13") warrant automatically converted into 156,250 shares of Common Stock of the Issuer. NEA 13 paid the exercise price of $0.01 per share of the warrant on a cashless basis, resulting in the Issuer's withholding of 196 of the warrant shares to pay the exercise price and issuing to NEA 13 the remaining 156,054 shares.
  2. The securities are directly held by NEA 13 and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Ryan D. Drant, Patrick J. Kerins, Krishna "Kittu" Kolluri, David M. Mott, Scott D. Sandell, Ravi Viswanathan and Harry R. Weller. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Indirect Reporting Persons have no pecuniary interest.
  3. The Secured Convertible Promissory Note was issued to NEA 13 in exchange for $5,000,000. Effective upon the closing of the Issuer's IPO, the outstanding principal and accrued and unpaid interest on the Secured Convertible Promissory Note automatically converted into shares of Common Stock at the Issuer's IPO price per share.
  4. This is the maturity date of the Secured Convertible Promissory Note.
  5. Effective upon the closing of the Issuer's IPO, each share of Series B Preferred Stock automatically converted, without the payment of additional consideration, at a ratio of 1.3953-1 into the number of shares of Common Stock shown in Column 7. The Series B Preferred Stock had no expiration date.