Home/Filings/4/0001181431-04-048317

4//SEC Filing

SOFINNOVA VENTURE PARTNERS V LP 4

Accession 0001181431-04-048317

CIK 0001138812other

View on SEC.gov Company Profile

Filed

Oct 20, 8:00 PM ET

Accepted

Oct 21, 5:49 PM ET

Size

31.9 KB

Accession

0001181431-04-048317

Insider Transaction Report

Form 4

Period: 2004-10-20

COTHERIX INCCTRX

HEALY JAMES

Director10% Owner

Transactions

Conversion
Common Stock
2004-10-20+1,776,844→ 2,254,413 total(indirect: By SVP)
Conversion
Common Stock
2004-10-20+27,242→ 34,564 total(indirect: By SVP II)
Conversion
Series B Convertible Preferred Stock
2004-10-20−21,133→ 0 total(indirect: by SVA)
→ Common Stock (22,455 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−642,350→ 0 total(indirect: by SVP)
→ Common Stock (682,561 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−9,849→ 0 total(indirect: by SVP II)
→ Common Stock (10,465 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−1,024,035→ 0 total(indirect: by SVP)
→ Common Stock (1,094,283 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−33,689→ 0 total(indirect: by SVA)
→ Common Stock (36,000 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−15,700→ 0 total(indirect: by SVP II)
→ Common Stock (16,777 underlying)
Conversion
Common Stock
2004-10-20+58,455→ 74,167 total(indirect: By SVA)

Holdings

Common Stock
39,390

POWELL MICHAEL

10% Owner

Transactions

Conversion
Series B Convertible Preferred Stock
2004-10-20−9,849→ 0 total(indirect: by SVP II)
→ Common Stock (10,465 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−33,689→ 0 total(indirect: by SVA)
→ Common Stock (36,000 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−15,700→ 0 total(indirect: by SVP II)
→ Common Stock (16,777 underlying)
Conversion
Common Stock
2004-10-20+58,455→ 74,167 total(indirect: By SVA)
Conversion
Series C Convertible Preferred Stock
2004-10-20−1,024,035→ 0 total(indirect: by SVP)
→ Common Stock (1,094,283 underlying)
Conversion
Common Stock
2004-10-20+27,242→ 34,564 total(indirect: By SVP II)
Conversion
Series B Convertible Preferred Stock
2004-10-20−21,133→ 0 total(indirect: by SVA)
→ Common Stock (22,455 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−642,350→ 0 total(indirect: by SVP)
→ Common Stock (682,561 underlying)
Conversion
Common Stock
2004-10-20+1,776,844→ 2,254,413 total(indirect: By SVP)

Holdings

Common Stock
39,390

Sofinnova Management V LLC

10% Owner

Transactions

Conversion
Series B Convertible Preferred Stock
2004-10-20−9,849→ 0 total(indirect: by SVP II)
→ Common Stock (10,465 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−1,024,035→ 0 total(indirect: by SVP)
→ Common Stock (1,094,283 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−21,133→ 0 total(indirect: by SVA)
→ Common Stock (22,455 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−33,689→ 0 total(indirect: by SVA)
→ Common Stock (36,000 underlying)
Conversion
Common Stock
2004-10-20+1,776,844→ 2,254,413 total(indirect: By SVP)
Conversion
Common Stock
2004-10-20+27,242→ 34,564 total(indirect: By SVP II)
Conversion
Series C Convertible Preferred Stock
2004-10-20−15,700→ 0 total(indirect: by SVP II)
→ Common Stock (16,777 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−642,350→ 0 total(indirect: by SVP)
→ Common Stock (682,561 underlying)
Conversion
Common Stock
2004-10-20+58,455→ 74,167 total(indirect: By SVA)

Holdings

Common Stock
39,390

SOFINNOVA VENTURE PRINCIPALS V LP

10% Owner

Transactions

Conversion
Series B Convertible Preferred Stock
2004-10-20−9,849→ 0 total(indirect: by SVP II)
→ Common Stock (10,465 underlying)
Conversion
Common Stock
2004-10-20+27,242→ 34,564 total(indirect: By SVP II)
Conversion
Series B Convertible Preferred Stock
2004-10-20−642,350→ 0 total(indirect: by SVP)
→ Common Stock (682,561 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−15,700→ 0 total(indirect: by SVP II)
→ Common Stock (16,777 underlying)
Conversion
Common Stock
2004-10-20+58,455→ 74,167 total(indirect: By SVA)
Conversion
Common Stock
2004-10-20+1,776,844→ 2,254,413 total(indirect: By SVP)
Conversion
Series C Convertible Preferred Stock
2004-10-20−1,024,035→ 0 total(indirect: by SVP)
→ Common Stock (1,094,283 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−21,133→ 0 total(indirect: by SVA)
→ Common Stock (22,455 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−33,689→ 0 total(indirect: by SVA)
→ Common Stock (36,000 underlying)

Holdings

Common Stock
39,390

Azan Alain

10% Owner

Transactions

Conversion
Series C Convertible Preferred Stock
2004-10-20−15,700→ 0 total(indirect: by SVP II)
→ Common Stock (16,777 underlying)
Conversion
Common Stock
2004-10-20+27,242→ 34,564 total(indirect: By SVP II)
Conversion
Series B Convertible Preferred Stock
2004-10-20−642,350→ 0 total(indirect: by SVP)
→ Common Stock (682,561 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−33,689→ 0 total(indirect: by SVA)
→ Common Stock (36,000 underlying)
Conversion
Common Stock
2004-10-20+58,455→ 74,167 total(indirect: By SVA)
Conversion
Common Stock
2004-10-20+1,776,844→ 2,254,413 total(indirect: By SVP)
Conversion
Series B Convertible Preferred Stock
2004-10-20−21,133→ 0 total(indirect: by SVA)
→ Common Stock (22,455 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−1,024,035→ 0 total(indirect: by SVP)
→ Common Stock (1,094,283 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−9,849→ 0 total(indirect: by SVP II)
→ Common Stock (10,465 underlying)

Holdings

Common Stock
39,390

SOFINNOVA VENTURE AFFILIATES V LP

10% Owner

Transactions

Conversion
Common Stock
2004-10-20+27,242→ 34,564 total(indirect: By SVP II)
Conversion
Common Stock
2004-10-20+58,455→ 74,167 total(indirect: By SVA)
Conversion
Series C Convertible Preferred Stock
2004-10-20−1,024,035→ 0 total(indirect: by SVP)
→ Common Stock (1,094,283 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−15,700→ 0 total(indirect: by SVP II)
→ Common Stock (16,777 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−642,350→ 0 total(indirect: by SVP)
→ Common Stock (682,561 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−9,849→ 0 total(indirect: by SVP II)
→ Common Stock (10,465 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-20−21,133→ 0 total(indirect: by SVA)
→ Common Stock (22,455 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−33,689→ 0 total(indirect: by SVA)
→ Common Stock (36,000 underlying)
Conversion
Common Stock
2004-10-20+1,776,844→ 2,254,413 total(indirect: By SVP)

Holdings

Common Stock
39,390

SOFINNOVA VENTURE PARTNERS V LP

10% Owner

Transactions

Conversion
Series B Convertible Preferred Stock
2004-10-20−21,133→ 0 total(indirect: by SVA)
→ Common Stock (22,455 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−1,024,035→ 0 total(indirect: by SVP)
→ Common Stock (1,094,283 underlying)
Conversion
Common Stock
2004-10-20+58,455→ 74,167 total(indirect: By SVA)
Conversion
Common Stock
2004-10-20+1,776,844→ 2,254,413 total(indirect: By SVP)
Conversion
Series B Convertible Preferred Stock
2004-10-20−9,849→ 0 total(indirect: by SVP II)
→ Common Stock (10,465 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−15,700→ 0 total(indirect: by SVP II)
→ Common Stock (16,777 underlying)
Conversion
Common Stock
2004-10-20+27,242→ 34,564 total(indirect: By SVP II)
Conversion
Series B Convertible Preferred Stock
2004-10-20−642,350→ 0 total(indirect: by SVP)
→ Common Stock (682,561 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-20−33,689→ 0 total(indirect: by SVA)
→ Common Stock (36,000 underlying)

Holdings

Common Stock
39,390

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

1 file

4
rrd55340.xmlPrimary
HEALY, FORM 4

Issuer

COTHERIX INC

CIK 0001138812

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001108554

Filing Metadata

Form type: 4
Filed: Oct 20, 8:00 PM ET
Accepted: Oct 21, 5:49 PM ET
Size: 31.9 KB

View on SEC.gov