Filing Details

Accession Number:
0001181431-10-041759
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-08-13 13:00:00
Reporting Period:
2010-08-11
Filing Date:
2010-08-13
Accepted Time:
2010-08-13 10:40:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1375200 Nupathe Inc. PATH Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1318118 Birchmere Ventures Iii Lp 2835 East Carson Street
Suite 208
Pittsburgh PA 15203
No No No Yes
1498235 Bv3 Llc 2835 East Carson Street
Suite 208
Pittsburgh PA 15203
No No No Yes
1498240 Bv3 Management Lp 2835 East Carson Street
Suite 208
Pittsburgh PA 15203
No No No Yes
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 2010-08-11 366,230 $0.00 366,230 No 4 C Indirect By Birchmere Ventures III LP
Common Stock Acquisiton 2010-08-11 279,660 $0.00 645,890 No 4 C Indirect By Birchmere Ventures III LP
Common Stock Acquisiton 2010-08-11 114,718 $8.00 760,608 No 4 C Indirect By Birchmere Ventures III LP
Common Stock Acquisiton 2010-08-11 54,758 $10.00 815,366 No 4 P Indirect By Birchmere Ventures III LP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Birchmere Ventures III LP
No 4 C Indirect By Birchmere Ventures III LP
No 4 C Indirect By Birchmere Ventures III LP
No 4 P Indirect By Birchmere Ventures III LP
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Convertible Preferred Stock Disposition 2010-08-11 2,293,907 $0.00 366,230 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2010-08-11 1,949,820 $0.00 279,660 $0.00
Series B Convertible Preferred Stock Warrant to Purchase Series B Convertible Preferred Stock Disposition 2010-08-11 34,754 $0.00 34,754 $0.93
Common Stock Warrant to Purchase Common Stock Acquisiton 2010-08-11 4,336 $0.00 4,336 $7.45
Common Stock Convertible Promissory Notes Disposition 2010-08-11 0 $0.00 114,718 $8.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 2009-08-20 2016-08-20 No 4 C Indirect
4,336 2010-08-11 2016-08-20 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. In connection with the Issuer's initial public offering (the "IPO"), the Series A Convertible Preferred Stock, including all accrued and unpaid dividends as of the date of conversion, converted into Issuer Common Stock on a 1-for-8.0149 basis and had no expiration date.
  2. These securities are owned directly by Birchmere Ventures III LP. BV3 LLC is the general partner of BV3 Management LP, which is the general partner of Birchmere Ventures III LP. BV3 LLC and BV3 Management LP disclaim beneficial ownership in these securities to the extent it exceeds their pecuniary interest therein.
  3. In connection with the Issuer's IPO, the Series B Convertible Preferred Stock, including all accrued and unpaid dividends as of the date of conversion, converted into Issuer Common Stock on a 1-for-8.0149 basis and had no expiration date.
  4. In connection with the Issuer's IPO, the Warrant to Purchase 34,754 shares of Series B Convertible Preferred Stock at $0.93 per share converted into a Warrant to Purchase 4,336 shares of the Issuer's Common Stock at $7.45 per share, as a result of the 1-for-8.0149 reverse stock split.
  5. In connection with the Issuer's IPO, the Convertible Promissory Note, including $24,164.62 in accrued and unpaid interest as of the date of conversion, converted into 114,718 shares of the Issuer's Common Stock at $8 per share.