Johann Peter 4

Accession 0001209191-11-042502

CIK 0001492426other

Filed

Aug 3, 8:00 PM ET

Accepted

Aug 4, 5:15 PM ET

Size

34.5 KB

Accession

0001209191-11-042502

Form 4

Period: 2011-08-02

Director

Transactions

Purchase
Common Stock
2011-08-02$9.00/sh+112,968$1,016,712→ 1,471,911 total(indirect: See FN)
Conversion
Series A Convertible Preferred Stock
2011-08-02−401,927→ 0 total(indirect: See FN)
→ Common Stock (401,927 underlying)
Conversion
Series B Convertible Preferred Stock
2011-08-02−61,366→ 0 total(indirect: See FN)
→ Common Stock (61,366 underlying)
Conversion
Convertible Promissory Notes
2011-08-02→ 0 total(indirect: See FN)
Exercise: $9.00→ Common Stock (124,007 underlying)
Conversion
Common Stock
2011-08-02+401,927→ 401,927 total(indirect: See FN)
Conversion
Common Stock
2011-08-02+555,956→ 957,883 total(indirect: See FN)
Conversion
Common Stock
2011-08-02+44,364→ 1,002,247 total(indirect: See FN)
Conversion
Common Stock
2011-08-02+61,366→ 1,063,613 total(indirect: See FN)
Conversion
Common Stock
2011-08-02$9.00/sh+89,652$806,868→ 1,153,265 total(indirect: See FN)
Purchase
Common Stock
2011-08-02$9.00/sh+81,671$735,039→ 1,358,943 total(indirect: See FN)
Conversion
Common Stock
2011-08-02$9.00/sh+124,007$1,116,063→ 1,277,272 total(indirect: See FN)
Conversion
Series B Convertible Preferred Stock
2011-08-02−44,364→ 0 total(indirect: See FN)
→ Common Stock (44,364 underlying)
Conversion
Series A Convertible Preferred Stock
2011-08-02−555,956→ 0 total(indirect: See FN)
→ Common Stock (555,956 underlying)
Conversion
Convertible Promissory Notes
2011-08-02→ 0 total(indirect: See FN)
Exercise: $9.00→ Common Stock (89,652 underlying)

Holdings

Footnotes (7)

[F1]Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock. Every 2.374 shares of preferred stock converted into one share of common stock upon the closing of the Issuer's initial public offering.
[F2]The securities are held of record by NGN Biomed Opportunity I GmbH & Co. Beteiligungs KG ("NGN Biomed").
[F3]The reporting person is a Managing General Partner of NGN Capital LLC, which is the general partner of the general partner of NGN BioMed and is the managing limited partner of NGN BioMed GMBH. The Reporting Person disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.
[F4]The securities are held of record by NGN Biomed Opportunity I, L.P. ("NGN Biomed").
[F5]Represents shares acquired upon conversion, in connection with the Issuer's initial public offering, of convertible promissory notes.
[F6]These securities are preferred stock of the Issuer and did not have an expiration date. Prior to the Issuer's initial public offering of common stock, the securities were convertible at any time at the election of the holder. The securities automatically converted into shares of common stock upon the closing of the issuer's initial public offering of common stock.
[F7]Principal and accrued interest converted upon the Issuer's initial public offering of common stock, into shares of common stock.

Documents

1 file

HORIZON PHARMA, INC.

CIK 0001492426

Entity typeother