PATHEON INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows, 8 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-03-11: Reporting owner JLL Partners Associates GP V (Patheon), Ltd. | JLL Patheon Holdings, Cooperatief U.A. | JLL Patheon Holdings LLC; Form 4; Security Class I Preferred Shares, Series D; Transaction J Other acquisition or disposition (describe transaction).
- 2012-02-02: Reporting owner Lagarde Michel; Form 4; Security Class I Preferred Shares, Series D; Transaction Holding.
- 2011-04-26: Reporting owner Hahn Eugene | Hammond Kevin T. | CASTALDI ALEXANDER R | Lagarde Michel | MILGRIM BRETT N | Rodriguez Frank J | JLL Patheon Holdings LLC | SCHWARTZ MICHAEL J; Form 3; Security Class I Preferred Shares, Series D; Transaction Holding.
- 2011-04-26: Reporting owner JLL Partners Associates GP V (Patheon), Ltd. | JLL Patheon Holdings, Cooperatief U.A. | JLL Patheon Holdings LLC | JLL Associates V (Patheon), L.P. | JLL Partners Fund V (Patheon), L.P.; Form 3; Security Class I Preferred Shares, Series D; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-03-11 | JLL Partners Associates GP V (Patheon), Ltd. | JLL Patheon Holdings, Cooperatief U.A. | JLL Patheon Holdings LLC 10% Owner | 10% Owner | 10% Owner | 4 | Class I Preferred Shares, Series D Non-derivative · Direct | J Other acquisition or disposition (describe transaction) | −150,000 0 owned after | $0.00 | 2014-03-13 | |
| 2012-02-02 holding as of filing | Lagarde Michel Director, 10% Owner | 4 | Class I Preferred Shares, Series D Non-derivative · Indirect · See Footnote | Holding | 150,000 owned after | no price filed | 2012-02-02 | |
| 2011-04-26 holding as of filing | Hahn Eugene | Hammond Kevin T. | CASTALDI ALEXANDER R | Lagarde Michel | MILGRIM BRETT N | Rodriguez Frank J | JLL Patheon Holdings LLC | SCHWARTZ MICHAEL J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class I Preferred Shares, Series D Non-derivative · Direct · (m) | Holding | 150,000 owned after | no price filed | 2011-04-26 | |
| 2011-04-26 holding as of filing | JLL Partners Associates GP V (Patheon), Ltd. | JLL Patheon Holdings, Cooperatief U.A. | JLL Patheon Holdings LLC | JLL Associates V (Patheon), L.P. | JLL Partners Fund V (Patheon), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class I Preferred Shares, Series D Non-derivative · Direct · (m) | Holding | 150,000 owned after | no price filed | 2011-04-26 | |
| 2011-04-26 holding as of filing | Taylor Thomas S Director, 10% Owner | 3 | Class I Preferred Shares, Series D Non-derivative · Indirect · See footnote | Holding | 150,000 owned after | no price filed | 2011-04-26 | |
| 2011-04-26 holding as of filing | FRANK RAMSEY A Director, 10% Owner | 3 | Class I Preferred Shares, Series D Non-derivative · Indirect · See footnote | Holding | 150,000 owned after | no price filed | 2011-04-26 | |
| 2011-04-26 holding as of filing | LEVY PAUL S Director, 10% Owner | 3 | Class I Preferred Shares, Series D Non-derivative · Indirect · See footnote | Holding | 150,000 owned after | no price filed | 2011-04-26 | |
| 2011-04-26 holding as of filing | Agroskin Daniel Director, 10% Owner | 3 | Class I Preferred Shares, Series D Non-derivative · Indirect · See footnote | Holding | 150,000 owned after | no price filed | 2011-04-26 |