NUPATHE INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows, 20 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-08-11: Reporting owner IVP GP, LLC | INNOVATION VALLEY PARTNERS, L.P. | BVP GP LLC | BATTELLE VENTURES, L.P.; Form 4; Security Convertible Promissory Note; Transaction C Conversion of derivative security.
- 2010-08-11: Reporting owner IVP GP, LLC | INNOVATION VALLEY PARTNERS, L.P. | BVP GP LLC | BATTELLE VENTURES, L.P.; Form 4; Security Convertible Promissory Note; Transaction C Conversion of derivative security.
- 2010-08-11: Reporting owner BV3 LLC | Birchmere Ventures III TSIB LP | BV3 Management LP; Form 4; Security Convertible Promissory Note; Transaction C Conversion of derivative security.
- 2010-08-11: Reporting owner Birchmere Ventures III LP | BV3 LLC | BV3 Management LP; Form 4; Security Convertible Promissory Notes; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-08-11 | IVP GP, LLC | INNOVATION VALLEY PARTNERS, L.P. | BVP GP LLC | BATTELLE VENTURES, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | C Conversion of derivative security | −8,443 0 owned after | $8.00 exercise price | 2010-08-13 | |
| 2010-08-11 | IVP GP, LLC | INNOVATION VALLEY PARTNERS, L.P. | BVP GP LLC | BATTELLE VENTURES, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | C Conversion of derivative security | −938 0 owned after | $8.00 exercise price | 2010-08-13 | |
| 2010-08-11 | BV3 LLC | Birchmere Ventures III TSIB LP | BV3 Management LP Other (Member of 10% owner group) | Other (Member of 10% owner group) | Other (Member of 10% owner group) | 4 | Convertible Promissory Note Derivative · Indirect · By Birchmere Ventures III TSIB LP | C Conversion of derivative security | 0 owned after | $8.00 exercise price | 2010-08-13 | |
| 2010-08-11 | Birchmere Ventures III LP | BV3 LLC | BV3 Management LP Other (Member of 10% owner group) | Other (Member of 10% owner group) | Other (Member of 10% owner group) | 4 | Convertible Promissory Notes Derivative · Indirect · By Birchmere Ventures III LP | C Conversion of derivative security | 0 owned after | $8.00 exercise price | 2010-08-13 | |
| 2010-08-11 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Convertible Promissory Note Derivative · Indirect · SDI | C Conversion of derivative security | −5,376,344 0 owned after | $8.00 exercise price | 2010-08-13 | |
| 2010-08-11 | Quaker BioVentures II LP 10% Owner | 4 | Convertible Promissory Note Derivative · Direct · (m) | C Conversion of derivative security | −1,792,115 37,524 owned after | $8.00 exercise price | 2010-08-13 | |
| 2010-08-11 | BioAdvance Ventures L P 10% Owner | 4 | Convertible Promissory Note Derivative · Indirect · (m) | C Conversion of derivative security | 37,524 owned after | $8.00 exercise price | 2010-08-13 | |
| 2010-08-11 | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 4 | Convertible Promissory Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $8.00 exercise price | 2010-08-12 | |
| 2010-08-11 | Diem Michael Craig Director | 4 | Convertible Promissory Note Derivative · Indirect · By SR One Limited | C Conversion of derivative security | 0 owned after | $8.00 exercise price | 2010-08-12 | |
| 2010-08-11 | Goldan Keith A. Officer (Vice President & CFO) | 4 | Convertible Promissory Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $8.00 exercise price | 2010-08-12 | |
| 2010-08-05 holding as of filing | INNOVATION VALLEY PARTNERS, L.P. | BATTELLE VENTURES, L.P. | IVP GP, LLC | BVP GP LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Convertible Notes Derivative · Direct | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | INNOVATION VALLEY PARTNERS, L.P. | BATTELLE VENTURES, L.P. | IVP GP, LLC | BVP GP LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Convertible Notes Derivative · Direct | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 3 | Convertible Promissory Note Derivative · Indirect · By SDI | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | BioAdvance Ventures L P Director, 10% Owner | 3 | Convertible Promissory Note Derivative · Indirect · (m) | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Quaker BioVentures II LP 10% Owner | 3 | Convertible Promissory Note Derivative · Direct · (m) | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Diem Michael Craig Director | 3 | Convertible Promissory Note Derivative · Indirect · (m) | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Birchmere Ventures III TSIB LP | BV3 Management LP | BV3 LLC Other (Member of 10% owner group) | Other (Member of 10% owner group) | Other (Member of 10% owner group) | 3 | Convertible Promissory Notes Derivative · Indirect · By Birchmere Ventues III TSIB LP | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Birchmere Ventures III LP | BV3 LLC | BV3 Management LP Other (Member of 10% owner group) | Other (Member of 10% owner group) | Other (Member of 10% owner group) | 3 | Convertible Promissory Notes Derivative · Indirect · By Birchmere Ventures III LP | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 3 | Convertible Promissory Note Derivative · Direct | Holding | $8.00 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Goldan Keith A. Officer (Vice President & CFO) | 3 | Convertible Promissory Note Derivative · Direct | Holding | $8.00 exercise price | 2010-08-05 |