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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 Insider Title 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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 Explanation
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
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 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 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
  1. 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.
  2. 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.
  3. BVP GP and IVP GP, LLC ("IVPGP") are under common control; however, under the "rule of three", there are no other beneficial owners.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. This Convertible Promissory Note, including all accrued and unpaid interest thereon, converted automatically into Common Stock upon the closing of the Issuer's IPO.
  9. 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.
  10. Reflects securities acquired on the date of the Issuer's IPO.
  11. Immediately exercisable.
  12. 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.