Filing Details
- Accession Number:
- 0001140361-14-016105
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-08 17:57:57
- Reporting Period:
- 2014-04-08
- Filing Date:
- 2014-04-08
- Accepted Time:
- 2014-04-08 17:57:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1594337 | Corium International Inc. | CORI | Pharmaceutical Preparations (2834) | 383230774 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1597585 | W Ronald Eastman | C/O Essex Woodlands Health Ventures 335 Bryant Street, Third Floor Palo Alto CA 94301 | Yes | 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 | 2014-04-08 | 679,115 | $0.00 | 679,115 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 2,028,309 | $0.00 | 2,707,424 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 397,718 | $0.00 | 3,105,142 | No | 4 | X | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 26,385 | $0.00 | 3,131,527 | No | 4 | X | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 214,149 | $0.00 | 3,345,676 | No | 4 | X | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 1,114 | $0.00 | 3,346,790 | No | 4 | X | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 218,279 | $0.00 | 3,565,069 | No | 4 | X | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 794 | $0.00 | 3,565,863 | No | 4 | X | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 397 | $0.00 | 3,566,260 | No | 4 | X | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 3,387,146 | $0.00 | 6,953,406 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 1,999,898 | $0.00 | 8,953,304 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-04-08 | 400,000 | $8.00 | 9,353,304 | No | 4 | P | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnote |
| No | 4 | C | Indirect | See footnote |
| No | 4 | X | Indirect | See footnote |
| No | 4 | X | Indirect | See footnote |
| No | 4 | X | Indirect | See footnote |
| No | 4 | X | Indirect | See footnote |
| No | 4 | X | Indirect | See footnote |
| No | 4 | X | Indirect | See footnote |
| No | 4 | X | Indirect | See footnote |
| No | 4 | C | Indirect | See footnote |
| No | 4 | C | Indirect | See footnote |
| No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2014-04-08 | 6,859,066 | $0.00 | 679,115 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2014-04-08 | 20,485,926 | $0.00 | 2,028,309 | $0.00 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2014-04-08 | 397,718 | $0.00 | 397,718 | $0.00 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2014-04-08 | 26,385 | $0.00 | 26,385 | $0.00 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2014-04-08 | 214,149 | $0.00 | 214,149 | $0.00 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2014-04-08 | 1,114 | $0.00 | 1,114 | $0.00 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2014-04-08 | 218,279 | $0.00 | 218,279 | $0.00 |
| Common Stock | Warrant to Purchase Series C Convertible Preferred Stock | Disposition | 2014-04-08 | 109,015 | $0.00 | 794 | $0.00 |
| Common Stock | Warrant to Purchase Series C Convertible Preferred Stock | Disposition | 2014-04-08 | 54,507 | $0.00 | 397 | $0.00 |
| Common Stock | Convertible Promissory Notes | Disposition | 2014-04-08 | 3,387,146 | $0.00 | 3,387,146 | $0.00 |
| Common Stock | Convertible Promissory Notes | Disposition | 2014-04-08 | 1,999,898 | $0.00 | 1,999,898 | $0.00 |
| 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 | 2017-08-02 | No | 4 | X | Indirect | |
| 0 | 2017-08-02 | No | 4 | X | Indirect | |
| 0 | 2017-08-02 | No | 4 | X | Indirect | |
| 0 | 2017-08-02 | No | 4 | X | Indirect | |
| 0 | 2017-08-02 | No | 4 | X | Indirect | |
| 0 | 2020-07-02 | No | 4 | X | Indirect | |
| 0 | 2020-12-29 | No | 4 | X | Indirect | |
| 0 | 2017-07-01 | No | 4 | C | Indirect | |
| 0 | 2017-07-01 | No | 4 | C | Indirect |
Footnotes
- The shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock in connection with the Issuer's initial public offering and had no expiration date.
- The number of shares reflects a 10.1-for-1 reverse stock spilt of all outstanding shares of Common Stock effected on March 21, 2014.
- The securities are held of record by Essex Woodlands Health Ventures Fund VII, L.P. (the "Fund"). The Reporting Person may be deemed to share voting and investment power over securities held by the Fund.
- The warrants were automatically net exercised in connection with the Issuer's initial public offering at an exercise price of $2.12100 per share.
- The warrants were automatically net exercised in connection with the Issuer's initial public offering at an exercise price of $7.41140 per share.
- The principal amount and accrued interest automatically converted into the specified number of shares of Common Stock in connection with the Issuer's initial public offering.
Billionaire Hedge Funds
