Filing Details
- Accession Number:
- 0001179110-14-002617
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-12 18:11:13
- Reporting Period:
- 2014-02-11
- Filing Date:
- 2014-02-12
- Accepted Time:
- 2014-02-12 18:11:13
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1586105 | Egalet Corp | EGLT | Pharmaceutical Preparations (2834) | 463575334 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1591617 | Renee Aguiar-Lucander | 460 East Swedesford Road Suite 1050 Wayne PA 19087 | Yes | No | No | 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 | 2014-02-11 | 60,000 | $0.00 | 60,000 | No | 4 | X | Indirect | By Omega Fund IV |
Common Stock | Acquisiton | 2014-02-11 | 171,241 | $6.00 | 231,241 | No | 4 | C | Indirect | By Omega Fund IV |
Common Stock | Acquisiton | 2014-02-11 | 83,333 | $12.00 | 314,574 | No | 4 | P | Indirect | By Omega Fund IV |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | X | Indirect | By Omega Fund IV |
No | 4 | C | Indirect | By Omega Fund IV |
No | 4 | P | Indirect | By Omega Fund IV |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Disposition | 2014-02-11 | 60,000 | $0.00 | 60,000 | $0.00 |
Common Stock | Senior Convertible Debt | Disposition | 2014-02-11 | 0 | $0.00 | 171,241 | $6.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | X | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- The reporting person is Omega Fund IV L.P. ("Omega Fund IV"). Omega Fund IV GP, L.P. ("Omega GP") is the general partner of Omega, and Omega Fund IV GP Manager, Ltd. ("Omega Manager") is the general partner of Omega GP. Ms. Aguiar-Lucander is a director of Omega Manager and therefore may be deemed to share the right to direct the voting and dispositive control of shares held by Omega Fund IV. Ms. Aguiar-Lucander disclaims beneficial ownership of any such securities except to the extent of his proportionate pecuniary interest therein, and this report shall not be deemed an admission that Ms. Aguiar-Lucander is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- The warrants were automatically exercised into Egalet Corporation common stock immediately prior to the consummation of the Egalet Corporation's initial public offering on a 1-for-1 basis, pursuant to the Omega Fund IV's purchase of a specified minimum amount of common stock in such offering.
- The senior convertible debt automatically converted into Egalet Corporation common stock immediately prior to the consummation of Egalet Corporation's initial public offering, based on a conversion price equal to 50% of the per share price in such offering, which was $12 per share.