Raptor Pharmaceutical Corp Forms 3, 4 and 5: Warrants
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.
- 2013-05-17: Reporting owner SAGER ERICH; Form 4; Security Common Stock Warrants (right to buy); Transaction J Other acquisition or disposition (describe transaction).
- 2013-05-17: Reporting owner SAGER ERICH; Form 4; Security Common Stock Warrants (right to buy); Transaction J Other acquisition or disposition (describe transaction).
- 2013-05-17: Reporting owner SAGER ERICH; Form 4; Security Common Stock Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-05-17: Reporting owner SAGER ERICH; Form 4; Security Common Stock Warrants (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 |
|---|---|---|---|---|---|---|---|---|
| 2013-05-17 | SAGER ERICH Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +25,284 25,284 owned after | $2.36 exercise price | 2013-05-21 | |
| 2013-05-17 | SAGER ERICH Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +14,369 14,369 owned after | $2.36 exercise price | 2013-05-21 | |
| 2013-05-17 | SAGER ERICH Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −25,284 0 owned after | $2.36 exercise price | 2013-05-21 | |
| 2013-05-17 | SAGER ERICH Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −14,369 0 owned after | $2.36 exercise price | 2013-05-21 | |
| 2006-10-11 holding as of filing | ADVIESBEHEER GIMV LIFE SCIENCES NV | GIMV NV | Biotech Fonds Vlaanderen NV 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (Right to Buy) Derivative · Indirect · See Footnote | Holding | $8.32 exercise price | 2006-10-11 | ||
| 2006-10-05 holding as of filing | Alta Partners III, Inc. | ALTA BIOPHARMA PARTNERS III LP | PENHOET EDWARD | ALTA BIOPHARMA PARTNERS III GMBH & CO BETEILIGUNGS KG | CHAMPSI FARAH | ALTA BIOPHARMA MANAGEMENT III LLC | ALTA EMBARCADERO BIOPHARMA PARTNERS III LLC | MARDUEL ALIX | HURWITZ EDWARD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (Right to Buy) Derivative · Indirect · See footnotes | Holding | $8.32 exercise price | 2006-10-05 | ||
| 2006-10-05 holding as of filing | ALTA EMBARCADERO PARTNERS II LLC | ALTA CALIFORNIA MANAGEMENT PARTNERS II LLC | JANNEY DANIEL | Alta California Partners II, L.P. -- New Pool | ALTA CALIFORNIA PARTNERS II LP | ALTA PARTNERS | NOHRA GUY P | Alta California Management Partners II, LLC -- New Pool | GRUENER GARRETT 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (Right to Buy) Derivative · Indirect · See footnotes | Holding | $8.32 exercise price | 2006-10-05 | ||
| 2006-10-03 | Beneden Patrick Van Director, 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +412,720 412,720 owned after | $8.32 exercise price | 2006-10-05 | |
| 2006-10-03 | COMER WILLIAM T Director | 4 | Warrant (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,029 27,029 owned after | $8.32 exercise price | 2006-10-05 | |
| 2006-10-03 | DELEAGE JEAN Director, 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +412,877 412,877 owned after | $8.32 | 2006-10-05 | |
| 2006-10-03 | FISHERMAN JASON S Director | 4 | Warrants to purchase Common Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +241 241 owned after | $8.32 exercise price | 2006-10-05 |