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Filing Details

Accession Number:: 0001144204-10-043854
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2010-08-13 13:00:00
Reporting Period:: 2010-08-11

Filing Date:: 2010-08-13
Accepted Time:: 2010-08-13 20:20:39
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1375200	Nupathe Inc.	PATH	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1262680	Battelle Ventures, L.p.	103 Carnegie Center Suite 100 Princeton NJ 08540	No	No	Yes	No
1262681	Bvp Gp Llc	103 Carnegie Center Suite 100 Princeton NJ 08540	No	No	Yes	No
1497548	Innovation Valley Partners, L.p.	103 Carnegie Center Suite 100 Princeton NJ 08540	No	No	Yes	No
1498194	Ivp Gp, Llc	103 Carnegie Center Suite 100 Princeton NJ 08540	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2010-08-11	283,745	$0.00	283,745	No	4	C	Direct
Common Stock	Acquisiton	2010-08-11	422,600	$0.00	706,345	No	4	C	Direct
Common Stock	Acquisiton	2010-08-11	51,651	$0.00	757,996	No	4	C	Direct
Common Stock	Acquisiton	2010-08-11	46,955	$0.00	804,951	No	4	C	Direct
Common Stock	Acquisiton	2010-08-11	157,005	$8.00	961,956	No	4	C	Direct
Common Stock	Acquisiton	2010-08-11	17,445	$8.00	979,401	No	4	C	Direct
Common Stock	Acquisiton	2010-08-11	138,799	$0.00	1,118,200	No	4	C	Direct
Common Stock	Acquisiton	2010-08-11	21,639	$0.00	1,139,839	No	4	C	Direct
Common Stock	Acquisiton	2010-08-11	264,231	$10.00	1,404,070	No	4	P	Direct
Common Stock	Acquisiton	2010-08-11	29,359	$10.00	1,433,429	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	P	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2010-08-11	2,274,194	$0.00	283,745	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2010-08-11	3,387,097	$0.00	422,600	$0.00
Common Stock	Series A Convertible Preferred Stock	Disposition	2010-08-11	413,978	$0.00	51,651	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2010-08-11	376,344	$0.00	46,955	$0.00
Common Stock	Convertible Promissory Note	Disposition	2010-08-11	0	$0.00	157,005	$8.00
Common Stock	Convertible Promissory Note	Disposition	2010-08-11	0	$0.00	17,445	$8.00
Common Stock	Warrant (Right to Buy)	Acquisiton	2010-08-11	8,443	$0.00	8,443	$7.45
Common Stock	Warrant (Right to Buy)	Acquisiton	2010-08-11	938	$0.00	938	$7.45

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		No	4	C	Direct
0		No	4	C	Direct
0		No	4	C	Direct
0		No	4	C	Direct
0		No	4	C	Direct
0		No	4	C	Direct
8,443	2016-08-20	No	4	C	Direct
938	2016-08-20	No	4	C	Direct

Footnotes

The shares of Series A Convertible Preferred Stock, including all accrued and unpaid dividends thereon, owned directly by Battelle Ventures, L.P. ("BVLP"), converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's initial public offering ("IPO"), and had no expiration date.
Reflects the securities of the Issuer directly acquired by BVLP, of which BVP, GP, LLC ("BVPGP") is the general partner. For purposes of this Form 4, BVPGP disclaims ownership of the shares of stock owned by BVLP, except to the extent of its pecuniary interest therein.
BVP GP and IVP GP, LLC ("IVPGP") are under common control; however, under the "rule of three", there are no other beneficial owners.
The shares of Series B Convertible Preferred Stock, including all accrued and unpaid dividends thereon, owned directly by Battelle Ventures, L.P. ("BVLP"), converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's IPO, and had no expiration date.
The shares of Series A Convertible Preferred Stock, including all accrued and unpaid dividends thereon, owned directly by Innovation Valley Partners, L.P. ("IVLP"), converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's IPO, and had no expiration date.
Reflects the securities of the issuer directly acquired by IVLP, of which IVPGP is the general partner. For purposes of this Form 4, IVPGP disclaims ownership of the shares of stock owned by IVLP, except to the extent of its pecuniary interest therein.
The shares of Series B Convertible Preferred Stock, including all accrued and unpaid dividends thereon, owned directly by IVLP, converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's IPO, and had no expiration date.
This Convertible Promissory Note, including all accrued and unpaid interest thereon, converted automatically into Common Stock upon the closing of the Issuer's IPO.
Reflects accrued and unpaid dividends on the Series A Convertible Preferred Stock and Series B Convertible Preferred Stock, which was automatically converted into Common Stock upon the closing of the Issuer's IPO.
Reflects securities acquired on the date of the Issuer's IPO.
Immediately exercisable.
Series B Convertible Preferred Stock Warrants held by the reporting persons and previously reported on a Form 3 were converted automatically into warrants to purchase shares of Common Stock upon the closing of the Issuer's IPO.