3/A//SEC Filing
CAMPBELL ANTHONY R 3/A
Accession 0001104659-09-002326
CIK 0000821995other
Filed
Jan 13, 7:00 PM ET
Accepted
Jan 14, 5:59 PM ET
Size
34.6 KB
Accession
0001104659-09-002326
Insider Transaction Report
Form 3/AAmended
CAMPBELL ANTHONY R
Director
Holdings
- 9,125(indirect: By custodian of Individual Retirement Account)
Common Stock, $.01 par value per share
- 982,070(indirect: By Knott Partners Offshore Master Fund, L.P.)
Common Stock, $.01 par value per share
- (indirect: By Managed Account B)
Series E Preferred Stock
Exercise: $2.00→ Common Stock, $.01 par value per share (49,000 underlying) - (indirect: By Shoshone Partners, L.P.)
Convertible Subordinated Notes due 2011
Exercise: $5.25Exp: 2011-12-31→ Common Stock, $.01 par value per share (119,619 underlying) - (indirect: By Mulsanne Partners, L.P.)
Convertible Subordinated Notes due 2011
Exercise: $5.25Exp: 2011-12-31→ Common Stock, $.01 par value per share (15,810 underlying) - (indirect: By Knott Partners, L.P.)
Warrant to purchase Common Stock, $.01 par value per share
Exercise: $5.39Exp: 2011-09-13→ Common Stock, $.01 par value per share (82,921 underlying) - (indirect: By Knott Partners Offshore Master Fund, L.P.)
Warrant to purchase Common Stock, $.01 par value per share
Exercise: $5.39Exp: 2011-09-13→ Common Stock, $.01 par value per share (427,355 underlying) - (indirect: By Managed Account B)
Warrant to purchase Common Stock, $.01 par value per share
Exercise: $5.39Exp: 2011-09-13→ Common Stock, $.01 par value per share (16,479 underlying) - 1,470,723(indirect: By Knott Partners, L.P.)
Common Stock, $.01 par value per share
- 1,600(indirect: By Managed Account A)
Common Stock, $.01 par value per share
- 68,479(indirect: By Managed Account B)
Common Stock, $.01 par value per share
- (indirect: By custodian of Individual Retirement Account)
Series C Convertible Preferred Stock
→ Common Stock, $.01 par value per share - 111,368
Common Stock, $.01 par value per share
- (indirect: By Knott Partners, L.P.)
Convertible Subordinated Notes due 2011
Exercise: $5.25Exp: 2011-12-31→ Common Stock, $.01 par value per share (25,905 underlying) - 576,100(indirect: By Shoshone Partners, L.P.)
Common Stock, $.01 par value per share
- (indirect: By Knott Partners, L.P.)
Series E Preferred Stock
Exercise: $2.00→ Common Stock, $.01 par value per share (399,000 underlying) - (indirect: By Managed Account C)
Convertible Subordinated Notes due 2011
Exercise: $5.25Exp: 2011-12-31→ Common Stock, $.01 par value per share (10,476 underlying) - (indirect: By Knott Partners Offshore Master Fund L.P.)
Series E Preferred Stock
Exercise: $2.00→ Common Stock, $.01 par value per share (479,000 underlying) - (indirect: By Shoshone Partners, L.P.)
Series E Preferred Stock
Exercise: $2.00→ Common Stock, $.01 par value per share (259,000 underlying) - (indirect: By Managed Account C)
Series E Preferred Stock
Exercise: $2.00→ Common Stock, $.01 par value per share (14,000 underlying) - (indirect: By Knott Partners Offshore Master Fund L.P.)
Convertible Subordinated Notes due 2011
Exercise: $5.25Exp: 2011-12-31→ Common Stock, $.01 par value per share (750,476 underlying) - (indirect: By Managed Account B)
Convertible Subordinated Notes due 2011
Exercise: $5.25Exp: 2011-12-31→ Common Stock, $.01 par value per share (30,095 underlying) - (indirect: By Shoshone Partners, L.P.)
Warrant to purchase Common Stock, $.01 par value per share
Exercise: $5.39Exp: 2011-09-13→ Common Stock, $.01 par value per share (116,636 underlying) - (indirect: By Mulsanne Partners, L.P.)
Warrant to purchase Common Stock, $.01 par value per share
Exercise: $5.39Exp: 2011-09-13→ Common Stock, $.01 par value per share (4,743 underlying) - (indirect: By Managed Account C)
Warrant to purchase Common Stock, $.01 par value per share
Exercise: $5.39Exp: 2011-09-13→ Common Stock, $.01 par value per share (8,868 underlying)
Footnotes (9)
- [F1]Includes award of 20,833 restricted Shares of Common Stock upon election to Board that vest at the 2009 Annual Meeting.
- [F2]Shares of Series C Convertible Preferred Stock are convertible into Shares of Common Stock. The conversion option does not expire.
- [F3]The number of Shares of Common Stock issuable upon conversion of a Share of the Series C Convertible Preferred Stock will be such number as is equal to the quotient obtained by dividing the stated value of such share ($1,000) by the lower of: (i) $3.50, and (ii) 100% of the average of the closing prices of the Common Stock on the three trading days immediately preceding the receipt by the Company of a conversion notice. This entry relates to 175 shares of Series C Convertible Preferred Stock.
- [F4]The Reporting Person is a member of Knott Partners Management LLC ("KPM"). KPM is the sole general partner of Shoshone Partners, L.P., Mulsanne Partners, L.P. and Knott Partners Offshore Master Fund, L.P., as well as the managing general partner of Knott Partners, L.P. The Reporting Person may be deemed to beneficially own an indirect pecuniary interest in the securities represented in this entry as a result of a performance-related fee. Except with respect to (a) Knott Partners, L.P., in which the Reporting Person owns a beneficial interest, and (b) Knott Partners, L.P., Shoshone Partners, L.P. and Knott Partners Offshore Master Fund, L.P., but only to the extent of the Reporting Person's indirect pecuniary interest in KPM, the Reporting Person disclaims beneficial ownership in such securities except to the extent ultimately realized.
- [F5]Each of Knott Partners, L.P., Shoshone Partners, L.P., Mulsanne Partners, L.P., and Knott Partners Offshore Master Fund, L.P., and each of the Managed Accounts disclaims beneficial ownership of securities reported as owned by any other party. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or any other purpose.
- [F6]These securities are currently convertible or exercisable, as the case may be.
- [F7]These securities do not expire.
- [F8]The securities reported in this entry are convertible at any time but only to the extent that after giving effect to such exercise the holder thereof, together with such holder's affiliates, would not beneficially own in excess of 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise.
- [F9]The Reporting Person is a senior analyst of Dorset Management Corporation ("DMC"). DMC provides investment management services to Knott Partners, L.P., Shoshone Partners, L.P.,, Mulsanne Partners, L.P., Knott Partners Offshore Master Fund, L.P. and the Managed Accounts. Each of Knott PPartners, L.P., Mulsanne Partners, L.P., Knott Partners Offshore Master Fund, L.P. and the Managed Accounts disclaims beneficial ownership of securities reported as owned by any other party. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or any other purpose.
Documents
Issuer
COLUMBIA LABORATORIES INC
CIK 0000821995
Entity typeother
IncorporatedNY
Related Parties
1- filerCIK 0001073308
Filing Metadata
- Form type
- 3/A
- Filed
- Jan 13, 7:00 PM ET
- Accepted
- Jan 14, 5:59 PM ET
- Size
- 34.6 KB