4//SEC Filing
PERRY MARK W 4
Accession 0001181431-09-051513
CIK 0001408808other
Filed
Nov 12, 7:00 PM ET
Accepted
Nov 13, 11:51 AM ET
Size
19.9 KB
Accession
0001181431-09-051513
Insider Transaction Report
Form 4
PEPLIN INCPLIN
NEA 12 GP, LLC
10% Owner
Transactions
- Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying) - Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total
KRAMLICH C RICHARD
10% Owner
Transactions
- Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total - Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying)
BARRIS PETER J
10% Owner
Transactions
- Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total - Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying)
BARRETT M JAMES
10% Owner
Transactions
- Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying) - Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total
SANDELL SCOTT D
10% Owner
Transactions
- Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total - Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying)
TRAINOR III EUGENE A
10% Owner
Transactions
- Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total - Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying)
NEWHALL CHARLES W III
10% Owner
Transactions
- Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying) - Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total
Transactions
- Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total - Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying)
NEA Partners 12, Limited Partnership
10% Owner
Transactions
- Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying) - Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total
PERRY MARK W
10% Owner
Transactions
- Disposition from Tender
Common Stock
2009-11-11$16.99/sh−1,301,781.55$22,117,269→ 0 total - Disposition from Tender
Common Stock Warrant (Right to Buy)
2009-11-11$9.13/sh−264,608$2,415,871→ 0 totalExercise: $7.86From: 2008-10-23Exp: 2013-10-23→ Common Stock (264,608 underlying)
Footnotes (4)
- [F1]The securities are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Ryan D. Drant, Patrick J. Kerins, C. Richard Kramlich, Krishna "Kittu" Kolluri, Charles M. Linehan, Charles W. Newhall III, Mark W. Perry, Scott D. Sandell and Eugene A. Trainor III.
- [F2]The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "1934 Act"), or otherwise of the securities of the issuer held by NEA 12, except to the extent of such Indirect Reporting Person's pecuniary interest therein, if any.
- [F3]The securities are directly held by NEA 12 and indirectly held by the Indirect Reporting Persons. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the 1934 Act or otherwise of the securities of the issuer held by NEA 12, except to the extent of such Indirect Reporting Person's pecuniary interest therein, if any.
- [F4]As a result of the disposition of securities of the issuer, NEA 12 no longer owns 10% or more of the outstanding common stock of the issuer and, accordingly, is no longer currently subject to reporting requirements or other obligations under Section 16 of the 1934 Act with respect to ownership of the common stock of the issuer which, in turn, means that the Indirect Reporting Persons also are no longer subject to such provisions of the 1934 Act.
Documents
Issuer
PEPLIN INC
CIK 0001408808
Entity typeother
Related Parties
1- filerCIK 0001062466
Filing Metadata
- Form type
- 4
- Filed
- Nov 12, 7:00 PM ET
- Accepted
- Nov 13, 11:51 AM ET
- Size
- 19.9 KB