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
- 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.
- 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.
- 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.
- 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.
- 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.