13D Filing: Aisling Capital III LP and Pernix Therapeutics Holdings Inc. (PTX)

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CUSIP No. 71426V108
SCHEDULE  13D
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1
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aisling Capital III, LP
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)  o
(b)  x
3
SEC USE ONLY
4
SOURCE OF FUNDS
OO
5
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
o
6
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
221,809
8
SHARED VOTING POWER
0
9
SOLE DISPOSITIVE POWER
221,809
10
SHARED DISPOSITIVE POWER
0
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
221,809
12
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% (1)
14
TYPE OF REPORTING PERSON
PN

 


(1)
Based on 11,554,232 shares of the Issuer’s common stock, consisting of (i) 11,532,423 shares of the Issuer’s common stock issued and outstanding as of November 1, 2017, as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on November 7, 2017 and (ii) 21,809 shares of the Issuer’s common stock issuable upon the conversion of $2,500,000 aggregate principal amount of the Issuer’s 4.25% Convertible Senior Notes due 2021 beneficially owned by the Reporting Persons.

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