NUPATHE INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 69 rows, 69 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-14: Reporting owner GLAXOSMITHKLINE PLC; Form 5; Security Series A Preferred Stock; Transaction Holding.
- 2013-02-05: Reporting owner Quaker BioVentures II LP; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2013-02-04: Reporting owner SAFEGUARD SCIENTIFICS INC; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2013-02-01: Reporting owner BATTELLE VENTURES, L.P. | INNOVATION VALLEY PARTNERS, L.P. | IVP GP, LLC | BVP GP LLC; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-02-14 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 5 | Series A Preferred Stock Derivative · Indirect · By S.R. One, Limited | Holding | 0 owned after | no price filed | 2014-02-14 | |
| 2013-02-05 | Quaker BioVentures II LP 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,500 0 owned after | no price filed | 2013-04-26 | |
| 2013-02-04 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · by SDI | C Conversion of derivative security | −2,500 0 owned after | $0.00 | 2013-04-23 | |
| 2013-02-01 | BATTELLE VENTURES, L.P. | INNOVATION VALLEY PARTNERS, L.P. | IVP GP, LLC | BVP GP LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −900 0 owned after | no price filed | 2013-02-20 | |
| 2013-02-01 | BATTELLE VENTURES, L.P. | INNOVATION VALLEY PARTNERS, L.P. | IVP GP, LLC | BVP GP LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −100 0 owned after | no price filed | 2013-02-20 | |
| 2013-01-26 | GLAXOSMITHKLINE PLC 10% Owner | 5 | Series A Preferred Stock Derivative · Indirect · By S.R. One, Limited | C Conversion of derivative security | −1,500 0 owned after | no price filed | 2014-02-14 | |
| 2012-11-08 | Mintz Hal | Sabby Healthcare Volatility Master Fund, Ltd. | SABBY MANAGEMENT, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Investment Manager | J Other acquisition or disposition (describe transaction) | −0 2,500,000 owned after | $2.00 exercise price | 2012-11-09 | |
| 2012-11-02 holding as of filing | Kollender Richard S Director | 3 | Series A Preferred Stock Derivative · Indirect · By Quaker BioVentures II, L.P. | Holding | $2.00 exercise price | 2012-11-02 | ||
| 2012-10-25 holding as of filing | SABBY MANAGEMENT, LLC | Sabby Healthcare Volatility Master Fund, Ltd. | Mintz Hal 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Investment Manager | Holding | $2.00 exercise price | 2012-10-25 | ||
| 2012-10-23 | BATTELLE VENTURES, L.P. | IVP GP, LLC | BVP GP LLC | INNOVATION VALLEY PARTNERS, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series A Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +900 900 owned after | no price filed | 2013-02-13 | |
| 2012-10-23 | BATTELLE VENTURES, L.P. | IVP GP, LLC | BVP GP LLC | INNOVATION VALLEY PARTNERS, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series A Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 100 owned after | no price filed | 2013-02-13 | |
| 2012-10-23 | Quaker BioVentures II LP 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,500 2,500 owned after | no price filed | 2012-10-25 | |
| 2012-10-23 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · by SDI | P Open market or private purchase of non-derivative or derivative security | +2,500 2,500 owned after | no price filed | 2012-10-24 | |
| 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 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,274,194 0 owned after | $0.00 | 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 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,387,097 0 owned after | $0.00 | 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 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −413,978 0 owned after | $0.00 | 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 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −376,344 0 owned after | $0.00 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III TSIB LP | C Conversion of derivative security | −1,290,323 0 owned after | $0.00 | 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 | Series B Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III TSIB LP | C Conversion of derivative security | −1,096,775 0 owned after | $0.00 | 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 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III TSIB LP | C Conversion of derivative security | −19,549 0 owned after | $0.93 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 | Series A Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III LP | C Conversion of derivative security | −2,293,907 0 owned after | $0.00 | 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 | Series B Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III LP | C Conversion of derivative security | −1,949,820 0 owned after | $0.00 | 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 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III LP | C Conversion of derivative security | −34,754 0 owned after | $0.93 exercise price | 2010-08-13 | |
| 2010-08-11 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · SDI | C Conversion of derivative security | −7,526,881 0 owned after | $0.00 | 2010-08-13 | |
| 2010-08-11 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · SDI | C Conversion of derivative security | $0.00 | 2010-08-13 | ||
| 2010-08-11 | Quaker BioVentures II LP 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −12,903,226 0 owned after | $0.00 | 2010-08-13 | |
| 2010-08-11 | Quaker BioVentures II LP 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,433,692 0 owned after | $0.00 | 2010-08-13 | |
| 2010-08-11 | Quaker BioVentures II LP 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | 0 owned after | $0.00 | 2010-08-13 | |
| 2010-08-11 | BioAdvance Ventures L P 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −1,792,115 0 owned after | $0.00 | 2010-08-13 | |
| 2010-08-11 | BioAdvance Ventures L P 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −1,433,692 0 owned after | $0.00 | 2010-08-13 | |
| 2010-08-11 | BioAdvance Ventures L P 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −12,903,226 0 owned after | $0.00 | 2010-08-13 | |
| 2010-08-11 | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | 0 owned after | $0.00 | 2010-08-12 | |
| 2010-08-11 | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | 0 owned after | $0.00 | 2010-08-12 | |
| 2010-08-11 | Diem Michael Craig Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By SR One Limited | C Conversion of derivative security | −5,376,344 0 owned after | $0.00 | 2010-08-12 | |
| 2010-08-11 | Felker Ezra H. Officer (VP Business Development) | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −3,223 0 owned after | $0.00 | 2010-08-12 | |
| 2010-08-11 | Felker Ezra H. Officer (VP Business Development) | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −45,164 0 owned after | $0.00 | 2010-08-12 | |
| 2010-08-11 | Goldan Keith A. Officer (Vice President & CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −26,882 0 owned after | $0.00 | 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 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 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 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 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 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 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 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By SDI | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By SDI | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Indirect · By SDI | Holding | $0.93 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | BioAdvance Ventures L P Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | BioAdvance Ventures L P Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | BioAdvance Ventures L P Director, 10% Owner | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Direct · (m) | Holding | $0.93 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | BioAdvance Ventures L P Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | BioAdvance Ventures L P Director, 10% Owner | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | $0.93 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Quaker BioVentures II LP 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Quaker BioVentures II LP 10% Owner | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Direct · (m) | Holding | $0.93 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Quaker BioVentures II LP 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Quaker BioVentures II LP 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Quaker BioVentures II LP 10% Owner | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | $0.93 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Felker Ezra H. Officer (VP Business Development) | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Felker Ezra H. Officer (VP Business Development) | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Felker Ezra H. Officer (VP Business Development) | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Direct · (m) | Holding | $0.93 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Diem Michael Craig Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Diem Michael Craig Director | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | $0.93 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 | Series A Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III TSIB LP | Holding | no price filed | 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 | Series B Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III TSIB LP | Holding | no price filed | 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 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III TSIB LP | Holding | $0.93 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 | Series A Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III LP | Holding | no price filed | 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 | Series B Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III LP | Holding | no price filed | 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 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · By Birchmere Ventures III LP | Holding | $0.93 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 3 | Series B Convertible Preferred Stock Warrant (Right to Buy) Derivative · Direct | Holding | $0.93 exercise price | 2010-08-05 | ||
| 2010-08-05 holding as of filing | Goldan Keith A. Officer (Vice President & CFO) | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-08-05 |