4//SEC Filing
CASTALDI ALEXANDER R 4
Accession 0001209191-13-000135
CIK 0001400431other
Filed
Jan 1, 7:00 PM ET
Accepted
Jan 2, 3:02 PM ET
Size
18.7 KB
Accession
0001209191-13-000135
Insider Transaction Report
Form 4
PATHEON INCPTI
JLL Associates V (Patheon), L.P.
10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-31$3.19/sh+524,392$1,672,810→ 78,144,986 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-31−524,392→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (524,392 underlying)
Transactions
- Exercise of In-Money
Subscription Right (right to buy)
2012-12-31−524,392→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (524,392 underlying) - Exercise of In-Money
Restricted Voting Shares
2012-12-31$3.19/sh+524,392$1,672,810→ 78,144,986 total
JLL Partners Fund V (Patheon), L.P.
10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-31$3.19/sh+524,392$1,672,810→ 78,144,986 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-31−524,392→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (524,392 underlying)
Agroskin Daniel
Director10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-31$3.19/sh+524,392$1,672,810→ 78,144,986 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-31−524,392→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (524,392 underlying)
JLL Patheon Holdings LLC
10% Owner
Transactions
- Exercise of In-Money
Subscription Right (right to buy)
2012-12-31−524,392→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (524,392 underlying) - Exercise of In-Money
Restricted Voting Shares
2012-12-31$3.19/sh+524,392$1,672,810→ 78,144,986 total
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-31$3.19/sh+524,392$1,672,810→ 78,144,986 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-31−524,392→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (524,392 underlying)
CASTALDI ALEXANDER R
10% Owner
Transactions
- Exercise of In-Money
Restricted Voting Shares
2012-12-31$3.19/sh+524,392$1,672,810→ 78,144,986 total - Exercise of In-Money
Subscription Right (right to buy)
2012-12-31−524,392→ 0 totalExercise: $3.19From: 2012-11-27Exp: 2012-12-28→ Restricted Voting Shares (524,392 underlying)
Footnotes (4)
- [F1]Represents restricted voting shares acquired pursuant to the exercise of over-subscription rights in the rights offering conducted by the Issuer that expired on December 28, 2012.
- [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 78,144,986 Restricted Voting Shares. Each Reporting Person other than JLL CoOp may be deemed to be the indirect beneficial owner of 78,144,986 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 0001327010
Filing Metadata
- Form type
- 4
- Filed
- Jan 1, 7:00 PM ET
- Accepted
- Jan 2, 3:02 PM ET
- Size
- 18.7 KB