PATHEON INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows in 2014. 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 Restricted Voting Shares; Transaction J Other acquisition or disposition (describe transaction).
- 2014-03-11: Reporting owner LYTTON MICHAEL; Form 4; Security Restricted Voting Shares; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-03-11: Reporting owner MULLEN JAMES C; Form 4; Security Restricted Voting Shares; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-03-11: Reporting owner Watchorn Derek John; Form 4; Security Restricted Voting Shares; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| 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 | Restricted Voting Shares Non-derivative · Direct | J Other acquisition or disposition (describe transaction) | −78,524,986 0 owned after | $9.32 | 2014-03-13 | |
| 2014-03-11 | LYTTON MICHAEL Officer (EVP Corp Dev & Strategy and GC) | 4 | Restricted Voting Shares Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −379,030 0 owned after | $9.32 | 2014-03-12 | |
| 2014-03-11 | MULLEN JAMES C Director, Officer (Chief Executive Officer) | 4 | Restricted Voting Shares Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,312,085 0 owned after | $9.32 | 2014-03-12 | |
| 2014-03-11 | Watchorn Derek John Director | 4 | Restricted Voting Shares Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +174,035 225,473 owned after | no price filed | 2014-03-12 | |
| 2014-03-11 | Watchorn Derek John Director | 4 | Restricted Voting Shares Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −225,473 0 owned after | $9.32 | 2014-03-12 | |
| 2014-03-11 | Watchorn Derek John Director | 4 | Deferred Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −174,035 0 owned after | no price filed | 2014-03-12 | |
| 2014-03-11 | Viso Joaquin Bautista Director | 4 | Restricted Voting Shares Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +119,141 11,808,839 owned after | no price filed | 2014-03-12 | |
| 2014-03-11 | Viso Joaquin Bautista Director | 4 | Restricted Voting Shares Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,808,839 0 owned after | $9.32 | 2014-03-12 | |
| 2014-03-11 | Viso Joaquin Bautista Director | 4 | Deferred Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −119,141 0 owned after | no price filed | 2014-03-12 | |
| 2014-03-11 | Shaw Brian Gordon Director | 4 | Restricted Voting Shares Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +95,682 206,621 owned after | no price filed | 2014-03-12 | |
| 2014-03-11 | Shaw Brian Gordon Director | 4 | Restricted Voting Shares Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −206,621 0 owned after | $9.32 | 2014-03-12 | |
| 2014-03-11 | Shaw Brian Gordon Director | 4 | Deferred Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −95,682 0 owned after | no price filed | 2014-03-12 | |
| 2014-03-11 | Sutin David Earl Director | 4 | Restricted Voting Shares Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +70,618 127,072 owned after | no price filed | 2014-03-12 | |
| 2014-03-11 | Sutin David Earl Director | 4 | Restricted Voting Shares Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −127,072 0 owned after | $9.32 | 2014-03-12 | |
| 2014-03-11 | Sutin David Earl Director | 4 | Deferred Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,618 0 owned after | no price filed | 2014-03-12 |