4//SEC Filing
LEVY PAUL S 4
Accession 0001209191-12-057958
CIK 0001400431other
Filed
Dec 16, 7:00 PM ET
Accepted
Dec 17, 12:47 PM ET
Size
22.5 KB
Accession
0001209191-12-057958
Insider Transaction Report
Form 4
PATHEON INCPTI
MILGRIM BRETT N
10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
SCHWARTZ MICHAEL J
10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
Hammond Kevin T.
10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
O'Leary Nicholas C
Director10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
Lagarde Michel
10% Owner
Transactions
- Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying) - Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total
Taylor Thomas S
Director10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
LEVY PAUL S
Director10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
Rodriguez Frank J
10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
Hahn Eugene
10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-14$3.19/sh+5,262,413$16,787,097→ 77,620,594 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-14−5,262,413→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (5,262,413 underlying)
Footnotes (4)
- [F1]On November 27, 2012, Patheon Inc. (the "Company") issued, to each holder of record as of such date, subscription rights to acquire additional restricted voting shares (the "Restricted Voting Shares") of the Company. On December 14, JLL Patheon Holdings, Cooperatief U.A. ("JLL CoOp") subscribed for 5,262,413 Restricted Voting Shares which represented JLL CoOp's pro rata basic subscription privilege for an aggregate payment of $16,787,097.47. On December 14, 2012, JLL CoOp made an additional payment of $13,210,012.78, all or a portion of which will be used to acquire any additional Restricted Voting Shares which remain unsubscribed on December 28, 2012. The Company will return any remaining portion of the payment to JLLCoOp following the expiration of the offering period.
- [F2]This report is filed jointly by JLL CoOp; JLL Patheon Holdings, LLC; JLL Partners Fund V (Patheon), L.P.; JLL Associates V (Patheon), L.P.; JLL Associates G.P. V (Patheon), Ltd. ("JLL Limited"); Paul S. Levy; Daniel Agroskin; Nicholas O'Leary; Eugene Hahn; Michael J. Schwartz; Frank J. Rodriguez; Alexander R. Castaldi; Kevin T. Hammond; Michel Lagarde; Thomas Taylor; and Brett N. Milgrim (each, a "Reporting Person" and, collectively, the "Reporting Persons") in connection with their respective direct or indirect relationships with the Company.
- [F3]JLL Limited is the sole general partner of JLL Associates V (Patheon), L.P., which is the sole general partner of JLL Partners Fund V (Patheon), L.P., which in turn is the sole member of JLL Patheon Holdings, LLC. JLL Patheon Holdings, LLC is the greater than 99% owner and controlling member of JLL CoOp. The following Reporting Persons serve on the board of directors of JLL Limited: Paul S. Levy; Daniel Agroskin; Nicholas O'Leary; Thomas Taylor; Eugene Hahn; Michael J. Schwartz; Frank J. Rodriguez; Alexander R. Castaldi; Kevin T. Hammond; Michel Lagarde; and Brett N. Milgrim. Mr. Agroskin is also a managing director of JLL CoOp.
- [F4]JLL CoOp is the direct beneficial owner of 77,620,594 Restricted Voting Shares. Each Reporting Person other than JLL CoOp may be deemed to be the indirect beneficial owner of 77,620,594 Restricted Voting Shares, however, each Reporting Person, other than JLL CoOp, disclaims beneficial ownership of these securities except to the extent of such Reporting Person's pecuniary interest therein, and this report shall not be deemed an admission that any of these reporting persons is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
Documents
Issuer
PATHEON INC
CIK 0001400431
Entity typeother
Related Parties
1- filerCIK 0001110176
Filing Metadata
- Form type
- 4
- Filed
- Dec 16, 7:00 PM ET
- Accepted
- Dec 17, 12:47 PM ET
- Size
- 22.5 KB