NUPATHE INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 29 rows, 29 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-21: Reporting owner SAFEGUARD SCIENTIFICS INC; Form 4; Security Warrant (right to buy); Transaction J Other acquisition or disposition (describe transaction).
- 2014-02-21: Reporting owner GLAXOSMITHKLINE PLC; Form 4; Security Warrant (right to buy); Transaction J Other acquisition or disposition (describe transaction).
- 2014-02-21: Reporting owner Kollender Richard S; Form 4; Security Warrant (right to purchase); Transaction J Other acquisition or disposition (describe transaction).
- 2014-02-21: Reporting owner Quaker BioVentures II LP; Form 4; Security Warrant (right to purchase); Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-02-21 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · by SDI | J Other acquisition or disposition (describe transaction) | −2,500,000 0 owned after | $1.65 | 2014-02-25 | |
| 2014-02-21 | GLAXOSMITHKLINE PLC Other (Former 10% Shareholder) | 4 | Warrant (right to buy) Derivative · Indirect · By S.R.One, Limited | J Other acquisition or disposition (describe transaction) | −15,635 0 owned after | $7.45 exercise price | 2014-02-24 | |
| 2014-02-21 | Kollender Richard S Director | 4 | Warrant (right to purchase) Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −2,500,000 0 owned after | $1.65 | 2014-02-24 | |
| 2014-02-21 | Quaker BioVentures II LP 10% Owner | 4 | Warrant (right to purchase) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −2,500,000 0 owned after | $1.65 | 2014-02-24 | |
| 2014-02-14 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 5 | Warrant (right to buy) Derivative · Indirect · By S.R. One, Limited | Holding | 1,500,000 owned after | $2.00 exercise price | 2014-02-14 | |
| 2014-02-14 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 5 | Warrant (right to buy) Derivative · Indirect · By S.R. One, Limited | Holding | 15,635 owned after | $7.45 exercise price | 2014-02-14 | |
| 2014-02-06 | GLAXOSMITHKLINE PLC Other (Former 10% Shareholder) | 4 | Warrant (right to buy) Derivative · Indirect · By S.R.One, Limited | C Conversion of derivative security | −1,500,000 0 owned after | $2.00 exercise price | 2014-02-24 | |
| 2012-11-02 holding as of filing | Kollender Richard S Director | 3 | Warrant (right to buy) Derivative · Indirect · By Quaker BioVentures II, L.P. | Holding | $7.45 exercise price | 2012-11-02 | ||
| 2012-11-02 holding as of filing | Kollender Richard S Director | 3 | Warrant (right to buy) 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 | Warrant 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 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +900,000 900,000 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 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | no price filed | 2013-02-13 | |
| 2012-10-23 | Mintz Hal | Sabby Healthcare Volatility Master Fund, Ltd. | SABBY MANAGEMENT, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Warrant Derivative · Indirect · Investment Manager | J Other acquisition or disposition (describe transaction) | +0 2,500,000 owned after | $2.00 exercise price | 2012-11-09 | |
| 2012-10-23 | Quaker BioVentures II LP 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,500,000 2,500,000 owned after | no price filed | 2012-10-25 | |
| 2012-10-23 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · by SDI | P Open market or private purchase of non-derivative or derivative security | +2,500,000 2,500,000 owned after | $2.00 exercise price | 2012-10-24 | |
| 2010-08-13 holding as of filing | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · SDI | Holding | 18,762 owned after | $7.45 exercise price | 2010-08-13 | |
| 2010-08-13 holding as of filing | Quaker BioVentures II LP 10% Owner | 4 | Warrant (Right to Buy) Derivative · Direct · (m) | Holding | 37,524 owned after | $7.45 exercise price | 2010-08-13 | |
| 2010-08-13 holding as of filing | Quaker BioVentures II LP 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | 3,127 owned after | $7.45 exercise price | 2010-08-13 | |
| 2010-08-13 holding as of filing | BioAdvance Ventures L P 10% Owner | 4 | Warrant (Right to Buy) Derivative · Direct · (m) | Holding | 3,127 owned after | $7.45 exercise price | 2010-08-13 | |
| 2010-08-13 holding as of filing | BioAdvance Ventures L P 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | 37,524 owned after | $7.45 exercise price | 2010-08-13 | |
| 2010-08-12 holding as of filing | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 4 | Warrant (Right to Buy) Derivative · Direct | Holding | 156 owned after | $7.45 exercise price | 2010-08-12 | |
| 2010-08-12 holding as of filing | Diem Michael Craig Director | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | 15,635 owned after | $7.45 exercise price | 2010-08-12 | |
| 2010-08-12 holding as of filing | Felker Ezra H. Officer (VP Business Development) | 4 | Warrant (Right to Buy) Derivative · Direct | Holding | 140 owned after | $7.45 exercise price | 2010-08-12 | |
| 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 | Warrant (Right to Buy) Derivative · Direct | C Conversion of derivative security | 8,443 owned after | $7.45 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 | Warrant (Right to Buy) Derivative · Direct | C Conversion of derivative security | 938 owned after | $7.45 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 | Warrant to Purchase Common Stock Derivative · Indirect · By Birchmere Ventures III TSIB LP | C Conversion of derivative security | +2,439 2,439 owned after | $7.45 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 | Warrant to Purchase Common Stock Derivative · Indirect · By Birchmere Ventures III LP | C Conversion of derivative security | +4,336 4,336 owned after | $7.45 exercise price | 2010-08-13 | |
| 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 | Warrant Derivative · Direct | Holding | $0.93 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 | Warrant Derivative · Direct | Holding | $0.93 exercise price | 2010-08-05 |