Filing Details
- Accession Number:
- 0001140361-14-016106
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-08 18:01:02
- Reporting Period:
- 2014-04-08
- Filing Date:
- 2014-04-08
- Accepted Time:
- 2014-04-08 18:01:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1367998 | Essex Woodlands Health Ventures Fund Vii Lp | C/O Essex Woodlands Health Ventures 335 Bryant Street, Third Floor Palo Alto CA 94301 | 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 | 2014-04-08 | 679,115 | $0.00 | 679,115 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 2,028,309 | $0.00 | 2,704,424 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 397,718 | $0.00 | 3,105,142 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 26,385 | $0.00 | 3,131,527 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 214,149 | $0.00 | 3,345,676 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 1,114 | $0.00 | 3,346,790 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 218,279 | $0.00 | 3,565,069 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 794 | $0.00 | 3,565,863 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 397 | $0.00 | 3,566,260 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 3,387,146 | $0.00 | 6,953,406 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 1,999,898 | $0.00 | 8,953,304 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-08 | 400,000 | $8.00 | 9,353,304 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | X | Direct | |
| No | 4 | X | Direct | |
| No | 4 | X | Direct | |
| No | 4 | X | Direct | |
| No | 4 | X | Direct | |
| No | 4 | X | Direct | |
| No | 4 | X | 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 | 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 | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | 2017-08-02 | No | 4 | X | Direct | |
| 0 | 2017-08-02 | No | 4 | X | Direct | |
| 0 | 2017-08-02 | No | 4 | X | Direct | |
| 0 | 2017-08-02 | No | 4 | X | Direct | |
| 0 | 2017-08-02 | No | 4 | X | Direct | |
| 0 | 2020-07-02 | No | 4 | X | Direct | |
| 0 | 2020-12-29 | No | 4 | X | Direct | |
| 0 | 2017-07-01 | No | 4 | C | Direct | |
| 0 | 2017-07-01 | No | 4 | C | Direct |
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 split of all outstanding shares of Common Stock effected on March 21, 2014.
- 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
