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COTHERIX INC·3

Oct 15, 12:26 PM ET

SOFINNOVA VENTURE PARTNERS V LP 3

3 · COTHERIX INC · Filed Oct 15, 2004

Insider Transaction Report

Form 3
Period: 2004-10-15
COTHERIX INCCTRX
HEALY JAMES
Director10% Owner
Holdings

  • Common Stock

    39,390

  • Common Stock

    (indirect: By SVA)
    4,462

  • Common Stock

    (indirect: By SVP)
    135,636

  • Series B Convertible Preferred Stock

    (indirect: by SVA)
    → Common Stock (22,455 underlying)

  • Series C Convertible Preferred Stock

    (indirect: by SVA)
    → Common Stock (36,000 underlying)

  • Common Stock

    (indirect: By SVP II)
    2,079
Footnotes (7)
  • [F1]Shares owned directly by Sofinnova Venture Affiliates V, L.P. ("SVA"). Reporting person is a managing member of Sofinnova Management V, L.L.C. ("SM"), which is the general partner of SVA. Reporting person disclaims beneficial ownership in the shares held by SVA except to the extent of any indirect pecuniary interest therein. Michael Powell and Alain Azan are both managing members of SM and each disclaims beneficial ownership in the shares held by SVA except to the extent of any indirect pecuniary interest therein.
  • [F2]Shares owned directly by Sofinnova Venture Partners V, L.P. ("SVP"). Reporting person is a managing member of SM, which is the general partner of SVP. Reporting person disclaims beneficial ownership in the shares held by SVP except to the extent of any indirect pecuniary interest therein. Michael Powell and Alain Azan are both managing members of SM and each disclaims beneficial ownership in the shares held by SVP except to the extent of any indirect pecuniary interest therein.
  • [F3]Shares owned directly by Sofinnova Venture Principals V, L.P. ("SVP II"). Reporting person is a managing member of SM, which is the general partner of SVP II. Reporting person disclaims beneficial ownership in the shares held by SVP II except to the extent of any indirect pecuniary interest therein. Michael Powell and Alain Azan are both managing members of SM and each disclaims beneficial ownership in the shares held by SVP II except to the extent of any indirect pecuniary interest therein.
  • [F4]Immediately.
  • [F5]Not Applicable.
  • [F6]Reflects the conversion adjustment of 1.0626 shares of Common Stock for each share of Series B Preferred Stock to be effective upon the closing of the issuer's initial public offering.
  • [F7]Reflects the conversion adjustment of 1.0686 shares of Common Stock for each share of Series C Preferred Stock to be effective upon the closing of the issuer's initial public offering.

Documents

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