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Filing Details

Accession Number:
0000914190-12-000244
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-04-02 16:27:06
Reporting Period:
2012-03-30
Filing Date:
2012-04-02
Accepted Time:
2012-04-02 15:27:06
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1133869 Nile Therapeutics Inc. NLTX Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1221355 A Joshua Kazam C/o Two River Group Holdings, Llc
689 Fifth Avenue, 12Th Floor
New York NY 10022
President & Ceo Yes Yes 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 2012-03-30 125,000 $0.00 1,453,228 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant (Right to Buy) Acquisiton 2012-03-30 93,750 $0.00 93,750 $0.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
93,750 No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 613,841 Indirect By Kazam Family Trust
Common Stock 165,530 Indirect By Spouse for Minor Child
Common Stock 165,530 Indirect By Kash Family Foundation
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $4.50 2018-01-25 50,000 50,000 Direct
Common Stock Stock Option (Right to Buy) $0.93 2010-01-01 2018-12-22 25,000 25,000 Direct
Common Stock Stock Option (Right to Buy) $1.77 2010-07-21 2019-07-21 65,000 65,000 Direct
Common Stock Stock Option (Right to Buy) $0.37 2011-07-26 2020-07-26 80,000 80,000 Direct
Common Stock Stock Option (Right to Buy) $0.73 2012-05-10 2021-05-10 80,000 80,000 Direct
Common Stock Warrant (Right to Buy) $1.25 2009-07-07 2014-07-07 49,407 49,407 Direct
Common Stock Warrant (Right to Buy) $1.71 2009-07-07 2014-07-07 49,407 49,407 Direct
Common Stock Warrant (Right to Buy) $2.28 2009-07-07 2014-07-07 98,814 98,814 Direct
Common Stock Warrant (Right to Buy) $0.94 2010-04-27 2015-04-21 15,000 15,000 Direct
Common Stock Warrant (Right to Buy) $1.38 2009-07-15 2019-07-15 31,650 31,650 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-01-25 50,000 50,000 Direct
2018-12-22 25,000 25,000 Direct
2019-07-21 65,000 65,000 Direct
2020-07-26 80,000 80,000 Direct
2021-05-10 80,000 80,000 Direct
2014-07-07 49,407 49,407 Direct
2014-07-07 49,407 49,407 Direct
2014-07-07 98,814 98,814 Direct
2015-04-21 15,000 15,000 Direct
2019-07-15 31,650 31,650 Direct
Footnotes
  1. The reported securities were purchased by the Reporting Person at an aggregate price of $0.40 for one share of common stock and three-fourths of a warrant to purchase one share of common stock.
  2. Held by Reporting Person's spouse as custodian for the benefit of their minor child under the Uniform Gift to Minors Act. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary intrest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
  3. The Reporting Person is the Trustee of the Kash Family Foundation and controls the right to vote and dispose of the shares held by the Trust. However, the Reporting Person has no pecuniary interest in the shares held by the Foundation.
  4. Fully exercisable.
  5. The warrants are exercisable for a period of five years beginning on the earlier of (i) the date on which a registration statement under the Securities Act of 1933, as amended, covering the shares of common stock issuable upon exercise of the warrants and the subsequent resale of such shares is declared effective by the Securities and Exchange Commission, and (ii) one year and one day after issuance.