Filing Details

Accession Number:
0001140361-14-016106
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-08 18:01:02
Reporting Period:
2014-04-08
Filing Date:
2014-04-08
Accepted Time:
2014-04-08 18:01:02
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1594337 Corium International Inc. CORI Pharmaceutical Preparations (2834) 383230774
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1367998 Essex Woodlands Health Ventures Fund Vii Lp C/O Essex Woodlands Health Ventures
335 Bryant Street, Third Floor
Palo Alto CA 94301
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-04-08 679,115 $0.00 679,115 No 4 C Direct
Common Stock Acquisiton 2014-04-08 2,028,309 $0.00 2,704,424 No 4 C Direct
Common Stock Acquisiton 2014-04-08 397,718 $0.00 3,105,142 No 4 X Direct
Common Stock Acquisiton 2014-04-08 26,385 $0.00 3,131,527 No 4 X Direct
Common Stock Acquisiton 2014-04-08 214,149 $0.00 3,345,676 No 4 X Direct
Common Stock Acquisiton 2014-04-08 1,114 $0.00 3,346,790 No 4 X Direct
Common Stock Acquisiton 2014-04-08 218,279 $0.00 3,565,069 No 4 X Direct
Common Stock Acquisiton 2014-04-08 794 $0.00 3,565,863 No 4 X Direct
Common Stock Acquisiton 2014-04-08 397 $0.00 3,566,260 No 4 X Direct
Common Stock Acquisiton 2014-04-08 3,387,146 $0.00 6,953,406 No 4 C Direct
Common Stock Acquisiton 2014-04-08 1,999,898 $0.00 8,953,304 No 4 C Direct
Common Stock Acquisiton 2014-04-08 400,000 $8.00 9,353,304 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Direct
No 4 X Direct
No 4 X Direct
No 4 X Direct
No 4 X Direct
No 4 X Direct
No 4 X Direct
No 4 X Direct
No 4 C Direct
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Convertible Preferred Stock Disposition 2014-04-08 6,859,066 $0.00 679,115 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2014-04-08 20,485,926 $0.00 2,028,309 $0.00
Common Stock Warrant to Purchase Common Stock Disposition 2014-04-08 397,718 $0.00 397,718 $0.00
Common Stock Warrant to Purchase Common Stock Disposition 2014-04-08 26,385 $0.00 26,385 $0.00
Common Stock Warrant to Purchase Common Stock Disposition 2014-04-08 214,149 $0.00 214,149 $0.00
Common Stock Warrant to Purchase Common Stock Disposition 2014-04-08 1,114 $0.00 1,114 $0.00
Common Stock Warrant to Purchase Common Stock Disposition 2014-04-08 218,279 $0.00 218,279 $0.00
Common Stock Warrant to Purchase Series C Convertible Preferred Stock Disposition 2014-04-08 109,015 $0.00 794 $0.00
Common Stock Warrant to Purchase Series C Convertible Preferred Stock Disposition 2014-04-08 54,507 $0.00 397 $0.00
Common Stock Convertible Promissory Notes Disposition 2014-04-08 3,387,146 $0.00 3,387,146 $0.00
Common Stock Convertible Promissory Notes Disposition 2014-04-08 1,999,898 $0.00 1,999,898 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Direct
0 2017-08-02 No 4 X Direct
0 2017-08-02 No 4 X Direct
0 2017-08-02 No 4 X Direct
0 2017-08-02 No 4 X Direct
0 2017-08-02 No 4 X Direct
0 2020-07-02 No 4 X Direct
0 2020-12-29 No 4 X Direct
0 2017-07-01 No 4 C Direct
0 2017-07-01 No 4 C Direct
Footnotes
  1. The shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock in connection with the Issuer's initial public offering and had no expiration date.
  2. The number of shares reflects a 10.1-for-1 reverse stock split of all outstanding shares of Common Stock effected on March 21, 2014.
  3. The warrants were automatically net exercised in connection with the Issuer's initial public offering at an exercise price of $2.12100 per share.
  4. The warrants were automatically net exercised in connection with the Issuer's initial public offering at an exercise price of $7.41140 per share.
  5. The principal amount and accrued interest automatically converted into the specified number of shares of Common Stock in connection with the Issuer's initial public offering.