Diem Michael Craig 4
4 · NUPATHE INC. · Filed Aug 12, 2010
Insider Transaction Report
Form 4
NUPATHE INC.PATH
Diem Michael Craig
Director
Transactions
- Conversion
Common Stock
2010-08-11$8.00/sh+145,375$1,163,000→ 1,151,211 total(indirect: By SR One Limited) - Other
Common Stock
2010-08-11$10.00/sh+242,568$2,425,680→ 242,568 total(indirect: By SR One Limited) - Conversion
Common Stock
2010-08-11+763,268→ 1,005,836 total(indirect: By SR One Limited) - Conversion
Series B Convertible Preferred Stock
2010-08-11−5,376,344→ 0 total(indirect: By SR One Limited)Exercise: $0.00→ Common Stock (763,268 underlying) - Conversion
Convertible Promissory Note
2010-08-11→ 0 total(indirect: By SR One Limited)Exercise: $8.00Exp: 2010-12-31→ Common Stock (145,375 underlying)
Holdings
- 15,635(indirect: By SR One Limited)
Warrant (Right to Buy)
Exercise: $7.45From: 2009-08-20Exp: 2016-08-20→ Common Stock (15,635 underlying) - 7,486
Stock Option (Right to Buy)
Exercise: $10.00Exp: 2020-08-05→ Common Stock (7,486 underlying)
Footnotes (6)
- [F1]Shares issued upon the closing of the Issuer's initial public offering at the initial public offering price of $10.00 per share.
- [F2]The reporting person is a partner of SR One Limited, and disclaims beneficial ownership of the securities held by SR One Limited, except to the extent of his pecuniary interest therein.
- [F3]The shares of Series B Convertible Preferred Stock, including all accrued and unpaid dividends thereon, converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's initial public offering, and had no expiration date.
- [F4]The Convertible Promissory Note, including all accrued and unpaid interest thereon, converted automatically into Common Stock upon the closing of the Issuer's initial public offering.
- [F5]The Series B Convertible Preferred Stock Warrant held by the reporting person and previously reported on a Form 3 converted automatically into a warrant to purchase shares of Common Stock upon the closing of the Issuer's initial public offering.
- [F6]The Stock Option vests in equal one-third increments on August 5, 2011, 2012 and 2013.