EAGLE PHARMACEUTICALS, INC. 4
4 · EAGLE PHARMACEUTICALS, INC. · Filed Feb 20, 2014
Insider Transaction Report
Form 4
SCHREIBER ALAIN
Director10% Owner
Transactions
- Conversion
Common Stock, $0.001 par value
2014-02-18+850,520→ 3,846,120 total(indirect: By ProQuest Investments IV, L.P.) - Exercise of In-Money
Common Stock, $0.001 par value
2014-02-18+357→ 72,291 total(indirect: By LLC) - Conversion
Series C Convertible Preferred Stock
2014-02-18−569,538→ 0 total(indirect: By ProQuest Investments IV, L.P.)→ Common Stock (569,538 underlying) - Conversion
Common Stock, $0.001 par value
2014-02-18+1,927,986→ 1,966,987 total(indirect: By ProQuest Investments IV, L.P.) - Conversion
Common Stock, $0.001 par value
2014-02-18+1,028,613→ 2,995,600 total(indirect: By ProQuest Investments IV, L.P.) - Conversion
Common Stock, $0.001 par value
2014-02-18+569,538→ 4,415,658 total(indirect: By ProQuest Investments IV, L.P.) - Purchase
Common Stock, $0.001 par value
2014-02-18$15.00/sh+333,333$4,999,995→ 4,770,828 total(indirect: By ProQuest Investments IV, L.P.) - Conversion
Common Stock, $0.001 par value
2014-02-18+62,575→ 62,575 total(indirect: By LLC) - Conversion
Common Stock, $0.001 par value
2014-02-18+9,359→ 71,934 total(indirect: By LLC) - Conversion
Series C Convertible Preferred Stock
2014-02-18−9,359→ 0 total(indirect: By LLC)→ Common Stock (9,359 underlying) - Exercise of In-Money
Common Stock, $0.001 par value
2014-02-18+21,837→ 4,437,495 total(indirect: By ProQuest Investments IV, L.P.) - Conversion
Series A Convertible Preferred Stock
2014-02-18−1,927,986→ 0 total(indirect: By ProQuest Investments IV, L.P.)→ Common Stock (1,927,986 underlying) - Conversion
Series B Convertible Preferred Stock
2014-02-18−1,028,613→ 0 total(indirect: By ProQuest Investments IV, L.P.)→ Common Stock (1,028,613 underlying) - Conversion
Series B-1 Convertible Preferred Stock
2014-02-18−850,520→ 0 total(indirect: By ProQuest Investments IV, L.P.)→ Common Stock (850,520 underlying) - Exercise of In-Money
Series C Warrants
2014-02-18−98,368→ 0 total(indirect: By ProQuest Investments IV, L.P.)→ Common Stock (98,368 underlying) - Conversion
Series B-1 Convertible Preferred Stock
2014-02-18−62,575→ 0 total(indirect: By LLC)→ Common Stock (62,575 underlying) - Exercise of In-Money
Series C Warrants
2014-02-18−1,614→ 0 total(indirect: By LLC)→ Common Stock (1,614 underlying)
Holdings
- 9,360(indirect: By LLC)
Common Stock, $0.001 par value
Footnotes (8)
- [F1]Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series C Convertible Preferred stock automatically converted into one share of the Issuer's Common Stock on a 6.41-for-1 basis immediately prior to the consummation of the Issuer's initial public offering.
- [F2]The shares are owned by ProQuest Investments IV, L.P. ("Investments IV"), of which ProQuest Associates IV LLC ("Associates IV") is the general partner. Jay Moorin and Alain Schreiber are managing members of Associates IV. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities.
- [F3]The shares are held in a ProQuest Management LLC Defined Benefit Pension Plan ("DBPP") FBO Jay Moorin and a ProQuest Management LLC Salary Savings Plan FBO Jay Moorin and for the benefit of certain other individuals. Jay Moorin and Alain Schreiber are trustees of the ProQuest Management LLC DBPP FBO Jay Moorin and the ProQuest Management LLC Salary Savings Plan FB0 Jay Moorin and for the benefit of certain other individuals. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities.
- [F4]In accordance with their terms, the Series C Warrants (the "Warrants") were net exercised immediately prior to consummation of the Issuer's initial public offering into shares of Common Stock on a 6.41-for-1 basis.
- [F5]The shares are owned by ProQuest Management LLC ("ProQuest Management"). The Reporting Person is a managing member of ProQuest Management. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities
- [F6]Reflects a 1-for-6.41 reverse stock split, pursuant to which each share of preferred stock became convertible into 1/6.41 of a share of common stock.
- [F7]The expiration date is not relevant to the conversion of these securities.
- [F8]In accordance with their terms, the Series C Warrants (the "Warrants") were net exercised at an exercise price of $11.67 immediately prior to closing of the Issuer's initial public offering into shares of common stock.