SCPHARMACEUTICALS INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 28 rows, 28 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-21: Reporting owner Sun Pharmaceutical Industries, Inc. | SUN PHARMACEUTICAL INDUSTRIES LTD | Sun Pharma (Netherlands) B.V. | SHANGHVI DILIP S; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2017-11-21: Reporting owner SCHAEFFER LEONARD D; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2017-11-21: Reporting owner SCHAEFFER LEONARD D; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2017-11-21: Reporting owner Coleman Dorothy; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-11-21 | Sun Pharmaceutical Industries, Inc. | SUN PHARMACEUTICAL INDUSTRIES LTD | Sun Pharma (Netherlands) B.V. | SHANGHVI DILIP S 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Sun Pharmaceutical Industries, Inc. | C Conversion of derivative security | −13,000,000 0 owned after | $0.00 | 2017-11-24 | |
| 2017-11-21 | SCHAEFFER LEONARD D Director | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −250,000 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | SCHAEFFER LEONARD D Director | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −309,501 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | Coleman Dorothy Director | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −103,024 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | Lundbeckfond Invest A/S 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,092,383 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | Lundbeckfond Invest A/S 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −7,067,945 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | Agger Mette Kirstine Director | 4 | Series A Preferred Stock Derivative · Indirect · By: Lundbeckfond Invest A/S | C Conversion of derivative security | −11,092,383 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | Agger Mette Kirstine Director | 4 | Series B Preferred Stock Derivative · Indirect · By: Lundbeckfond Invest A/S | C Conversion of derivative security | −7,067,945 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | SILVERSTEIN JONATHAN Director | 4 | Series B Preferred Stock Derivative · Indirect · By: OrbiMed Private Investments VI, L.P. | C Conversion of derivative security | −18,500,000 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | 5AM Co-Investors IV, L.P. | 5AM Ventures IV, L.P. | ROCKLAGE SCOTT M | Schwab Andrew J. | 5AM Partners IV, LLC | DIEKMAN JOHN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · by 5AM Ventures IV, L.P. | C Conversion of derivative security | −10,649,003 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | 5AM Co-Investors IV, L.P. | 5AM Ventures IV, L.P. | ROCKLAGE SCOTT M | Schwab Andrew J. | 5AM Partners IV, LLC | DIEKMAN JOHN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · by 5AM Ventures IV, L.P. | C Conversion of derivative security | −7,263,649 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | 5AM Co-Investors IV, L.P. | 5AM Ventures IV, L.P. | ROCKLAGE SCOTT M | Schwab Andrew J. | 5AM Partners IV, LLC | DIEKMAN JOHN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · by 5AM Co-Investors IV, L.P. | C Conversion of derivative security | −443,708 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | 5AM Co-Investors IV, L.P. | 5AM Ventures IV, L.P. | ROCKLAGE SCOTT M | Schwab Andrew J. | 5AM Partners IV, LLC | DIEKMAN JOHN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · by 5AM Co-Investors IV, L.P. | C Conversion of derivative security | −302,652 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-21 | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP VI LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −18,500,000 0 owned after | $0.00 | 2017-11-21 | |
| 2017-11-16 holding as of filing | ORBIMED ADVISORS LLC | OrbiMed Capital GP VI LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Sun Pharmaceutical Industries, Inc. 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Lundbeckfond Invest A/S 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Lundbeckfond Invest A/S 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | 5AM Co-Investors IV, L.P. | 5AM Partners IV, LLC | ROCKLAGE SCOTT M | DIEKMAN JOHN D | 5AM Ventures IV, L.P. | Schwab Andrew J. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · by 5AM Ventures IV, LP | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | 5AM Co-Investors IV, L.P. | 5AM Partners IV, LLC | ROCKLAGE SCOTT M | DIEKMAN JOHN D | 5AM Ventures IV, L.P. | Schwab Andrew J. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · by 5AM Ventures IV, LP | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | 5AM Co-Investors IV, L.P. | 5AM Partners IV, LLC | ROCKLAGE SCOTT M | DIEKMAN JOHN D | 5AM Ventures IV, L.P. | Schwab Andrew J. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · by 5AM Co-Investors IV, LP | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | 5AM Co-Investors IV, L.P. | 5AM Partners IV, LLC | ROCKLAGE SCOTT M | DIEKMAN JOHN D | 5AM Ventures IV, L.P. | Schwab Andrew J. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · by 5AM Co-Investors IV, LP | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | SILVERSTEIN JONATHAN Director | 3 | Series B Preferred Stock Derivative · Indirect · By: OrbiMed Private Investments VI, L.P. | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Agger Mette Kirstine Director | 3 | Series A Preferred Stock Derivative · Indirect · By: Lundbeckfond Invest A/S | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Agger Mette Kirstine Director | 3 | Series B Preferred Stock Derivative · Indirect · By: Lundbeckfond Invest A/S | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | SCHAEFFER LEONARD D Director | 3 | Series A Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | SCHAEFFER LEONARD D Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Coleman Dorothy Director | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2017-11-16 |