BVP GP LLC 4

Accession 0001144204-10-043854

CIK 0001375200other

View on SEC.gov Company Profile

Filed

Aug 12, 8:00 PM ET

Accepted

Aug 13, 8:20 PM ET

Size

102.8 KB

Accession

0001144204-10-043854

Insider Transaction Report

Form 4

Period: 2010-08-11

NUPATHE INC.PATH

BATTELLE VENTURES, L.P.

10% Owner

Transactions

Conversion
Warrant (Right to Buy)
2010-08-11+8,443→ 8,443 total
Exercise: $7.45Exp: 2016-08-20→ Common Stock (8,443 underlying)
Conversion
Common Stock
2010-08-11+283,745→ 283,745 total
Conversion
Common Stock
2010-08-11+422,600→ 706,345 total
Conversion
Common Stock
2010-08-11+46,955→ 804,951 total
Conversion
Common Stock
2010-08-11$8.00/sh+17,445$139,560→ 979,401 total
Conversion
Common Stock
2010-08-11+138,799→ 1,118,200 total
Conversion
Common Stock
2010-08-11+21,639→ 1,139,839 total
Purchase
Common Stock
2010-08-11$10.00/sh+264,231$2,642,310→ 1,404,070 total
Conversion
Series B Convertible Preferred Stock
2010-08-11−376,344→ 0 total
→ Common Stock (46,955 underlying)
Conversion
Convertible Promissory Note
2010-08-11→ 0 total
Exercise: $8.00→ Common Stock (17,445 underlying)
Conversion
Common Stock
2010-08-11+51,651→ 757,996 total
Conversion
Common Stock
2010-08-11$8.00/sh+157,005$1,256,040→ 961,956 total
Purchase
Common Stock
2010-08-11$10.00/sh+29,359$293,590→ 1,433,429 total
Conversion
Series A Convertible Preferred Stock
2010-08-11−2,274,194→ 0 total
→ Common Stock (283,745 underlying)
Conversion
Series B Convertible Preferred Stock
2010-08-11−3,387,097→ 0 total
→ Common Stock (422,600 underlying)
Conversion
Series A Convertible Preferred Stock
2010-08-11−413,978→ 0 total
→ Common Stock (51,651 underlying)
Conversion
Convertible Promissory Note
2010-08-11→ 0 total
Exercise: $8.00→ Common Stock (157,005 underlying)
Conversion
Warrant (Right to Buy)
2010-08-11+938→ 938 total
Exercise: $7.45Exp: 2016-08-20→ Common Stock (938 underlying)

INNOVATION VALLEY PARTNERS, L.P.

10% Owner

Transactions

Conversion
Series A Convertible Preferred Stock
2010-08-11−413,978→ 0 total
→ Common Stock (51,651 underlying)
Conversion
Warrant (Right to Buy)
2010-08-11+938→ 938 total
Exercise: $7.45Exp: 2016-08-20→ Common Stock (938 underlying)
Conversion
Common Stock
2010-08-11+138,799→ 1,118,200 total
Conversion
Common Stock
2010-08-11+21,639→ 1,139,839 total
Conversion
Convertible Promissory Note
2010-08-11→ 0 total
Exercise: $8.00→ Common Stock (157,005 underlying)
Conversion
Common Stock
2010-08-11+422,600→ 706,345 total
Conversion
Common Stock
2010-08-11+51,651→ 757,996 total
Conversion
Common Stock
2010-08-11$8.00/sh+157,005$1,256,040→ 961,956 total
Conversion
Series A Convertible Preferred Stock
2010-08-11−2,274,194→ 0 total
→ Common Stock (283,745 underlying)
Conversion
Series B Convertible Preferred Stock
2010-08-11−376,344→ 0 total
→ Common Stock (46,955 underlying)
Conversion
Convertible Promissory Note
2010-08-11→ 0 total
Exercise: $8.00→ Common Stock (17,445 underlying)
Conversion
Warrant (Right to Buy)
2010-08-11+8,443→ 8,443 total
Exercise: $7.45Exp: 2016-08-20→ Common Stock (8,443 underlying)
Conversion
Common Stock
2010-08-11+283,745→ 283,745 total
Conversion
Common Stock
2010-08-11+46,955→ 804,951 total
Conversion
Common Stock
2010-08-11$8.00/sh+17,445$139,560→ 979,401 total
Purchase
Common Stock
2010-08-11$10.00/sh+264,231$2,642,310→ 1,404,070 total
Purchase
Common Stock
2010-08-11$10.00/sh+29,359$293,590→ 1,433,429 total
Conversion
Series B Convertible Preferred Stock
2010-08-11−3,387,097→ 0 total
→ Common Stock (422,600 underlying)

IVP GP, LLC

10% Owner

Transactions

Conversion
Common Stock
2010-08-11+21,639→ 1,139,839 total
Conversion
Series B Convertible Preferred Stock
2010-08-11−3,387,097→ 0 total
→ Common Stock (422,600 underlying)
Conversion
Common Stock
2010-08-11$8.00/sh+157,005$1,256,040→ 961,956 total
Conversion
Common Stock
2010-08-11+46,955→ 804,951 total
Purchase
Common Stock
2010-08-11$10.00/sh+264,231$2,642,310→ 1,404,070 total
Purchase
Common Stock
2010-08-11$10.00/sh+29,359$293,590→ 1,433,429 total
Conversion
Series B Convertible Preferred Stock
2010-08-11−376,344→ 0 total
→ Common Stock (46,955 underlying)
Conversion
Convertible Promissory Note
2010-08-11→ 0 total
Exercise: $8.00→ Common Stock (157,005 underlying)
Conversion
Convertible Promissory Note
2010-08-11→ 0 total
Exercise: $8.00→ Common Stock (17,445 underlying)
Conversion
Common Stock
2010-08-11+283,745→ 283,745 total
Conversion
Common Stock
2010-08-11+138,799→ 1,118,200 total
Conversion
Series A Convertible Preferred Stock
2010-08-11−2,274,194→ 0 total
→ Common Stock (283,745 underlying)
Conversion
Series A Convertible Preferred Stock
2010-08-11−413,978→ 0 total
→ Common Stock (51,651 underlying)
Conversion
Warrant (Right to Buy)
2010-08-11+8,443→ 8,443 total
Exercise: $7.45Exp: 2016-08-20→ Common Stock (8,443 underlying)
Conversion
Warrant (Right to Buy)
2010-08-11+938→ 938 total
Exercise: $7.45Exp: 2016-08-20→ Common Stock (938 underlying)
Conversion
Common Stock
2010-08-11+422,600→ 706,345 total
Conversion
Common Stock
2010-08-11+51,651→ 757,996 total
Conversion
Common Stock
2010-08-11$8.00/sh+17,445$139,560→ 979,401 total

BVP GP LLC

10% Owner

Transactions

Conversion
Common Stock
2010-08-11$8.00/sh+157,005$1,256,040→ 961,956 total
Conversion
Common Stock
2010-08-11$8.00/sh+17,445$139,560→ 979,401 total
Conversion
Warrant (Right to Buy)
2010-08-11+8,443→ 8,443 total
Exercise: $7.45Exp: 2016-08-20→ Common Stock (8,443 underlying)
Conversion
Common Stock
2010-08-11+283,745→ 283,745 total
Conversion
Common Stock
2010-08-11+422,600→ 706,345 total
Conversion
Common Stock
2010-08-11+51,651→ 757,996 total
Conversion
Common Stock
2010-08-11+46,955→ 804,951 total
Conversion
Common Stock
2010-08-11+21,639→ 1,139,839 total
Purchase
Common Stock
2010-08-11$10.00/sh+29,359$293,590→ 1,433,429 total
Conversion
Warrant (Right to Buy)
2010-08-11+938→ 938 total
Exercise: $7.45Exp: 2016-08-20→ Common Stock (938 underlying)
Conversion
Common Stock
2010-08-11+138,799→ 1,118,200 total
Purchase
Common Stock
2010-08-11$10.00/sh+264,231$2,642,310→ 1,404,070 total
Conversion
Series A Convertible Preferred Stock
2010-08-11−2,274,194→ 0 total
→ Common Stock (283,745 underlying)
Conversion
Series B Convertible Preferred Stock
2010-08-11−3,387,097→ 0 total
→ Common Stock (422,600 underlying)
Conversion
Series A Convertible Preferred Stock
2010-08-11−413,978→ 0 total
→ Common Stock (51,651 underlying)
Conversion
Series B Convertible Preferred Stock
2010-08-11−376,344→ 0 total
→ Common Stock (46,955 underlying)
Conversion
Convertible Promissory Note
2010-08-11→ 0 total
Exercise: $8.00→ Common Stock (157,005 underlying)
Conversion
Convertible Promissory Note
2010-08-11→ 0 total
Exercise: $8.00→ Common Stock (17,445 underlying)

Footnotes (12)

[F1]The shares of Series A Convertible Preferred Stock, including all accrued and unpaid dividends thereon, owned directly by Battelle Ventures, L.P. ("BVLP"), converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's initial public offering ("IPO"), and had no expiration date.
[F10]Reflects securities acquired on the date of the Issuer's IPO.
[F11]Immediately exercisable.
[F12]Series B Convertible Preferred Stock Warrants held by the reporting persons and previously reported on a Form 3 were converted automatically into warrants to purchase shares of Common Stock upon the closing of the Issuer's IPO.
[F2]Reflects the securities of the Issuer directly acquired by BVLP, of which BVP, GP, LLC ("BVPGP") is the general partner. For purposes of this Form 4, BVPGP disclaims ownership of the shares of stock owned by BVLP, except to the extent of its pecuniary interest therein.
[F3]BVP GP and IVP GP, LLC ("IVPGP") are under common control; however, under the "rule of three", there are no other beneficial owners.
[F4]The shares of Series B Convertible Preferred Stock, including all accrued and unpaid dividends thereon, owned directly by Battelle Ventures, L.P. ("BVLP"), converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's IPO, and had no expiration date.
[F5]The shares of Series A Convertible Preferred Stock, including all accrued and unpaid dividends thereon, owned directly by Innovation Valley Partners, L.P. ("IVLP"), converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's IPO, and had no expiration date.
[F6]Reflects the securities of the issuer directly acquired by IVLP, of which IVPGP is the general partner. For purposes of this Form 4, IVPGP disclaims ownership of the shares of stock owned by IVLP, except to the extent of its pecuniary interest therein.
[F7]The shares of Series B Convertible Preferred Stock, including all accrued and unpaid dividends thereon, owned directly by IVLP, converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's IPO, and had no expiration date.
[F8]This Convertible Promissory Note, including all accrued and unpaid interest thereon, converted automatically into Common Stock upon the closing of the Issuer's IPO.
[F9]Reflects accrued and unpaid dividends on the Series A Convertible Preferred Stock and Series B Convertible Preferred Stock, which was automatically converted into Common Stock upon the closing of the Issuer's IPO.

Documents

2 files

Issuer

NUPATHE INC.

CIK 0001375200

→

Entity typeother

Related Parties

filerCIK 0001262681

Filing Metadata

Form type: 4
Filed: Aug 12, 8:00 PM ET
Accepted: Aug 13, 8:20 PM ET
Size: 102.8 KB

View on SEC.gov