4//SEC Filing
CASTALDI ALEXANDER R 4
Accession 0001209191-13-016967
CIK 0001400431other
Filed
Mar 14, 8:00 PM ET
Accepted
Mar 15, 6:15 PM ET
Size
20.8 KB
Accession
0001209191-13-016967
Insider Transaction Report
Form 4
PATHEON INCPTI
Agroskin Daniel
Director10% Owner
Transactions
- Purchase
Restricted Voting Shares
2013-03-15$3.91/sh+148,600$581,026→ 78,524,986 total - Purchase
Restricted Voting Shares
2013-03-13$3.79/sh+98,900$374,831→ 78,243,886 total - Purchase
Restricted Voting Shares
2013-03-14$3.81/sh+132,500$504,825→ 78,376,386 total
CASTALDI ALEXANDER R
10% Owner
Transactions
- Purchase
Restricted Voting Shares
2013-03-13$3.79/sh+98,900$374,831→ 78,243,886 total - Purchase
Restricted Voting Shares
2013-03-15$3.91/sh+148,600$581,026→ 78,524,986 total - Purchase
Restricted Voting Shares
2013-03-14$3.81/sh+132,500$504,825→ 78,376,386 total
Transactions
- Purchase
Restricted Voting Shares
2013-03-13$3.79/sh+98,900$374,831→ 78,243,886 total - Purchase
Restricted Voting Shares
2013-03-14$3.81/sh+132,500$504,825→ 78,376,386 total - Purchase
Restricted Voting Shares
2013-03-15$3.91/sh+148,600$581,026→ 78,524,986 total
JLL Patheon Holdings LLC
10% Owner
Transactions
- Purchase
Restricted Voting Shares
2013-03-13$3.79/sh+98,900$374,831→ 78,243,886 total - Purchase
Restricted Voting Shares
2013-03-15$3.91/sh+148,600$581,026→ 78,524,986 total - Purchase
Restricted Voting Shares
2013-03-14$3.81/sh+132,500$504,825→ 78,376,386 total
Transactions
- Purchase
Restricted Voting Shares
2013-03-13$3.79/sh+98,900$374,831→ 78,243,886 total - Purchase
Restricted Voting Shares
2013-03-14$3.81/sh+132,500$504,825→ 78,376,386 total - Purchase
Restricted Voting Shares
2013-03-15$3.91/sh+148,600$581,026→ 78,524,986 total
JLL Partners Fund V (Patheon), L.P.
10% Owner
Transactions
- Purchase
Restricted Voting Shares
2013-03-13$3.79/sh+98,900$374,831→ 78,243,886 total - Purchase
Restricted Voting Shares
2013-03-14$3.81/sh+132,500$504,825→ 78,376,386 total - Purchase
Restricted Voting Shares
2013-03-15$3.91/sh+148,600$581,026→ 78,524,986 total
JLL Associates V (Patheon), L.P.
10% Owner
Transactions
- Purchase
Restricted Voting Shares
2013-03-13$3.79/sh+98,900$374,831→ 78,243,886 total - Purchase
Restricted Voting Shares
2013-03-14$3.81/sh+132,500$504,825→ 78,376,386 total - Purchase
Restricted Voting Shares
2013-03-15$3.91/sh+148,600$581,026→ 78,524,986 total
Footnotes (6)
- [F1]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.69 to $3.75, as converted from C$3.79 to C$3.85 using the closing rate of exchange from Reuters on March 13, 2013. The Reporting Persons undertake to provide to Patheon Inc., any security holder of Patheon Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1), (5) and (6) to this Form 4.
- [F2]This report is filed jointly by JLL Patheon Holdings, Cooperatief U.A. ("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 Patheon Inc. (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 78,524,986 restricted voting shares (the "Restricted Voting Shares") of the Company. Each Reporting Person other than JLL CoOp may be deemed to be the indirect beneficial owner of 78,524,986 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.
- [F5]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.71 to $3.86, as converted from C$3.79 to C$3.95 using the closing rate of exchange from Reuters on March 14, 2013.
- [F6]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.79 to $4.02, as converted from C$3.86 to C$4.10 using the closing rate of exchange from Reuters on March 15, 2013.
Documents
Issuer
PATHEON INC
CIK 0001400431
Entity typeother
Related Parties
1- filerCIK 0001327010
Filing Metadata
- Form type
- 4
- Filed
- Mar 14, 8:00 PM ET
- Accepted
- Mar 15, 6:15 PM ET
- Size
- 20.8 KB