Filing Details

Accession Number:
0001140361-15-037185
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-10-08 16:14:40
Reporting Period:
2015-10-06
Filing Date:
2015-10-08
Accepted Time:
2015-10-08 16:14:40
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1472091 Edge Therapeutics Inc. EDGE Pharmaceutical Preparations (2834) 264231384
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1245624 James Healy C/o Sofinnova
3000 Sand Hill Road, Bldng 4, Suite 250
Menlo Park CA 94025
Yes No No 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 2015-10-06 1,807,703 $0.00 1,807,703 No 4 C Indirect By Fund
Common Stock Acquisiton 2015-10-06 450,000 $11.00 2,257,703 No 4 P Indirect By Fund
Common Stock Acquisiton 2015-10-06 53,665 $8.60 2,311,368 No 4 J Indirect By Fund
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Fund
No 4 P Indirect By Fund
No 4 J Indirect By Fund
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series C-2 Convertible Preferred Stock Disposition 2015-10-06 2,473,118 $0.00 1,807,703 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
Footnotes
  1. The convertible preferred stock converted into the Issuer's common stock at a conversion ratio, as adjusted to give effect to the Issuer's 1-for-1.3681 reverse stock split effected on September 21, 2015, of one share of common stock for every 1.3681 shares of preferred stock immediately prior to the closing of the Issuer's initial public offering of common stock, and had no expiration date.
  2. Consists of 1,807,703 shares of common stock owned of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). The Reporting Person is a managing member of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. The Reporting Person disclaims beneficial ownership with regard to such shares, except to the extent of his proportionate pecuniary interest therein.
  3. SVP IX received a total of 53,665 shares of the Issuer's common stock which represented a payment-in-kind dividend on 2,473,118 shares of the Issuer's convertible preferred stock owned by SVP IX at the time of the dividend payment date. The Reporting Person is a managing member of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. The Reporting Person disclaims beneficial ownership with regard to such shares, except to the extent of his proportionate pecuniary interest therein.