PATHEON INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows, 11 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-31: Reporting owner Taylor Thomas S | Hammond Kevin T. | SCHWARTZ MICHAEL J | Lagarde Michel | JLL Patheon Holdings, Cooperatief U.A. | Rodriguez Frank J | LEVY PAUL S | Hahn Eugene | O'Leary Nicholas C | MILGRIM BRETT N; Form 4; Security Subscription Right (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2012-12-31: Reporting owner JLL Associates V (Patheon), L.P. | CASTALDI ALEXANDER R | JLL Patheon Holdings, Cooperatief U.A. | Agroskin Daniel | JLL Patheon Holdings LLC | JLL Partners Fund V (Patheon), L.P. | JLL Partners Associates GP V (Patheon), Ltd.; Form 4; Security Subscription Right (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2012-12-28: Reporting owner Watchorn Derek John; Form 4; Security Subscription Rights (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2012-12-28: Reporting owner Watchorn Derek John; Form 4; Security Subscription Rights (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-31 | Taylor Thomas S | Hammond Kevin T. | SCHWARTZ MICHAEL J | Lagarde Michel | JLL Patheon Holdings, Cooperatief U.A. | Rodriguez Frank J | LEVY PAUL S | Hahn Eugene | O'Leary Nicholas C | MILGRIM BRETT N 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Subscription Right (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −524,392 0 owned after | $3.19 exercise price | 2013-01-02 | |
| 2012-12-31 | JLL Associates V (Patheon), L.P. | CASTALDI ALEXANDER R | JLL Patheon Holdings, Cooperatief U.A. | Agroskin Daniel | JLL Patheon Holdings LLC | JLL Partners Fund V (Patheon), L.P. | JLL Partners Associates GP V (Patheon), Ltd. 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subscription Right (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −524,392 0 owned after | $3.19 exercise price | 2013-01-02 | |
| 2012-12-28 | Watchorn Derek John Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −28,325 0 owned after | $3.20 exercise price | 2013-01-02 | |
| 2012-12-28 | Watchorn Derek John Director | 4 | Subscription Rights (Right to Buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −3,500 0 owned after | $3.20 exercise price | 2013-01-02 | |
| 2012-12-28 | Viso Joaquin Bautista Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −10,824,053 0 owned after | $3.19 exercise price | 2013-01-02 | |
| 2012-12-21 | LYTTON MICHAEL Officer (EVP Corp Dev & Strategy and GC) | 4 | Subscription Rights (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −191,200 0 owned after | $3.19 exercise price | 2013-01-03 | |
| 2012-12-18 | MULLEN JAMES C Director, Officer (Chief Executive Officer) | 4 | Subscription Rights (Right to Buy) Derivative · Direct | W Acquisition or disposition by will or the laws of descent and distribution | −1,201,044 0 owned after | $3.24 exercise price | 2013-01-02 | |
| 2012-12-17 | Sutin David Earl Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,000 0 owned after | $3.24 exercise price | 2013-01-02 | |
| 2012-12-17 | Shaw Brian Gordon Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +60,000 0 owned after | $3.24 exercise price | 2012-12-19 | |
| 2012-12-14 | JLL Patheon Holdings, Cooperatief U.A. | Taylor Thomas S | O'Leary Nicholas C | Hammond Kevin T. | MILGRIM BRETT N | Rodriguez Frank J | Hahn Eugene | SCHWARTZ MICHAEL J | Lagarde Michel | LEVY PAUL S 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Subscription Right (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,262,413 0 owned after | $3.19 exercise price | 2012-12-17 | |
| 2012-12-14 | CASTALDI ALEXANDER R | Agroskin Daniel | JLL Partners Fund V (Patheon), L.P. | JLL Associates V (Patheon), L.P. | JLL Patheon Holdings LLC | JLL Patheon Holdings, Cooperatief U.A. | JLL Partners Associates GP V (Patheon), Ltd. 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subscription Right (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,262,413 0 owned after | $3.19 exercise price | 2012-12-17 |