Filing Details

Accession Number:
0001209191-13-016968
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-15 18:16:00
Reporting Period:
2013-03-13
Filing Date:
2013-03-15
Accepted Time:
2013-03-15 18:16:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1400431 Patheon Inc PTI Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1110176 S Paul Levy 450 Lexington Avenue, 31St Floor
New York NY 10017
Yes No Yes No
1326908 N Brett Milgrim 450 Lexington Avenue, 31St Floor
New York NY 10017
No No Yes No
1460259 S Thomas Taylor 450 Lexington Avenue, 31St Floor
New York NY 10017
No No Yes No
1503241 J Frank Rodriguez 450 Lexington Avenue, 31St Floor
New York NY 10017
No No Yes No
1518970 Jll Patheon Holdings, Cooperatief U.a. C/O Jll Partners, Inc.
450 Lexington Avenue, 31St Floor
New York NY 10017
No No Yes No
1518971 Eugene Hahn 450 Lexington Avenue, 31St Floor
New York NY 10017
No No Yes No
1518972 T. Kevin Hammond 450 Lexington Avenue, 31St Floor
New York NY 10017
No No Yes No
1518973 Michel Lagarde 450 Lexington Avenue, 31St Floor
New York NY 10017
Yes No Yes No
1518974 J Michael Schwartz 450 Lexington Avenue, 31St Floor
New York NY 10017
No No Yes No
1542553 C Nicholas O'leary 450 Lexington Avenue, 31St Floor
New York NY 10017
Yes 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
Restricted Voting Shares Acquisiton 2013-03-13 98,900 $3.79 78,243,886 No 4 P Direct
Restricted Voting Shares Acquisiton 2013-03-14 132,500 $3.81 78,376,386 No 4 P Direct
Restricted Voting Shares Acquisiton 2013-03-15 148,600 $3.91 78,524,986 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
Footnotes
  1. 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.
  2. 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").
  3. 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.
  4. 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.
  5. 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.
  6. 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.