Agile Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows, 13 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-05-29: Reporting owner ProQuest Investments III, L.P. | Moorin Jay | ProQuest Associates IV LLC | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | SCHREIBER ALAIN; Form 4; Security Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2014-05-29: Reporting owner ProQuest Investments III, L.P. | Moorin Jay | ProQuest Associates IV LLC | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | SCHREIBER ALAIN; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2014-05-29: Reporting owner ProQuest Investments III, L.P. | Moorin Jay | ProQuest Associates IV LLC | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | SCHREIBER ALAIN; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2014-05-29: Reporting owner Care Capital Offshore Investments III LP | Care Capital Investments III L.P. | Care Capital III LLC; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-05-29 | ProQuest Investments III, L.P. | Moorin Jay | ProQuest Associates IV LLC | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | SCHREIBER ALAIN 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −117,441 0 owned after | $0.00 | 2014-06-02 | |
| 2014-05-29 | ProQuest Investments III, L.P. | Moorin Jay | ProQuest Associates IV LLC | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | SCHREIBER ALAIN 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,393,000 0 owned after | $0.00 | 2014-06-02 | |
| 2014-05-29 | ProQuest Investments III, L.P. | Moorin Jay | ProQuest Associates IV LLC | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | SCHREIBER ALAIN 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −328,821 0 owned after | $0.00 | 2014-06-02 | |
| 2014-05-29 | Care Capital Offshore Investments III LP | Care Capital Investments III L.P. | Care Capital III LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,393,000 0 owned after | no price filed | 2014-05-29 | |
| 2014-05-29 | Care Capital Offshore Investments III LP | Care Capital Investments III L.P. | Care Capital III LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −303,255 0 owned after | no price filed | 2014-05-29 | |
| 2014-05-22 holding as of filing | Care Capital III LLC | Care Capital Investments III L.P. | Care Capital Offshore Investments III LP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-05-22 | ||
| 2014-05-22 holding as of filing | Care Capital III LLC | Care Capital Investments III L.P. | Care Capital Offshore Investments III LP 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-05-22 | ||
| 2014-05-22 holding as of filing | SCHIFF ANDREW N Director | 3 | Series C Preferred Stock Derivative · Indirect · By Aisling Capital III, LP | Holding | no price filed | 2014-05-22 | ||
| 2014-05-22 holding as of filing | INVESTOR AB 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2014-05-22 | ||
| 2014-05-22 holding as of filing | INVESTOR AB 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2014-05-22 | ||
| 2014-05-22 holding as of filing | SCHREIBER ALAIN | ProQuest Investments III, L.P. | Moorin Jay | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | ProQuest Associates IV LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-05-22 | ||
| 2014-05-22 holding as of filing | SCHREIBER ALAIN | ProQuest Investments III, L.P. | Moorin Jay | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | ProQuest Associates IV LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-05-22 | ||
| 2014-05-22 holding as of filing | SCHREIBER ALAIN | ProQuest Investments III, L.P. | Moorin Jay | ProQuest Investments IV, L.P. | ProQuest Associates III LLC | ProQuest Associates IV LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-05-22 |