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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock option (right to buy) | $ 10 | 02/21/2014 | D | 7,486 | (3) | 08/05/2020 | Common Stock | 7,486 | $ 0 (4) | 0 | D | ||||
Stock option (right to buy) | $ 7.75 | 02/21/2014 | D | 6,014 | (3) | 03/03/2021 | Common Stock | 6,014 | $ 0 (4) | 0 | D | ||||
Stock option (right to buy) | $ 7.81 | 02/21/2014 | D | 2,024 | (3) | 03/31/2021 | Common Stock | 2,024 | $ 0 (4) | 0 | D | ||||
Stock option (right to buy) | $ 7.66 | 02/21/2014 | D | 6,750 | (3) | 06/08/2021 | Common Stock | 6,750 | $ 0 (4) | 0 | D | ||||
Stock option (right to buy) | $ 7.33 | 02/21/2014 | D | 2,169 | (3) | 06/30/2021 | Common Stock | 2,169 | $ 0 (4) | 0 | D | ||||
Stock option (right to buy) | $ 2.02 | 02/21/2014 | D | 9,050 | (3) | 09/30/2021 | Common Stock | 9,050 | $ 4.78 (4) | 0 | D | ||||
Stock option (right to buy) | $ 1.84 | 02/21/2014 | D | 9,955 | (3) | 12/30/2021 | Common Stock | 9,955 | $ 4.96 (4) | 0 | D | ||||
Stock option (right to buy) | $ 3.7 | 02/21/2014 | D | 4,976 | (3) | 03/31/2022 | Common Stock | 4,976 | $ 3.1 (4) | 0 | D | ||||
Stock option (right to buy) | $ 3.37 | 02/21/2014 | D | 6,750 | (3) | 06/07/2022 | Common Stock | 6,750 | $ 3.43 (4) | 0 | D | ||||
Stock option (right to buy) | $ 4.03 | 02/21/2014 | D | 4,326 | (3) | 06/30/2022 | Common Stock | 4,326 | $ 2.77 (4) | 0 | D | ||||
Stock option (right to buy) | $ 3.56 | 02/21/2014 | D | 4,956 | (3) | 09/30/2022 | Common Stock | 4,956 | $ 3.24 (4) | 0 | D | ||||
Stock option (right to buy) | $ 3.38 | 02/21/2014 | D | 5,179 | (3) | 12/31/2022 | Common Stock | 5,179 | $ 3.42 (4) | 0 | D | ||||
Stock option (right to buy) | $ 3.45 | 02/21/2014 | D | 4,099 | (3) | 03/31/2023 | Common Stock | 4,099 | $ 3.35 (4) | 0 | D | ||||
Stock option (right to buy) | $ 2.99 | 02/21/2014 | D | 13,500 | (3) | 06/05/2023 | Common Stock | 13,500 | $ 3.81 (4) | 0 | D | ||||
Stock option (right to buy) | $ 3.06 | 02/21/2014 | D | 5,787 | (3) | 06/30/2023 | Common Stock | 5,787 | $ 3.74 (4) | 0 | D | ||||
Stock option (right to buy) | $ 2.41 | 02/21/2014 | D | 8,951 | (3) | 09/30/2023 | Common Stock | 8,951 | $ 4.39 (4) | 0 | D | ||||
Stock option (right to buy) | $ 3.27 | 02/21/2014 | D | 6,604 | (3) | 12/31/2023 | Common Stock | 6,604 | $ 3.53 (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROCHE ROBERT P JR C/O NUPATHE INC., 7 GREAT VALLEY PARKWAY, SUITE 300 MALVERN, PA 19355 |
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/s/ Michael F. Marino, attorney-in-fact | 02/25/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Disposed upon the consummation of the merger (the "Merger") contemplated by the Agreement and Plan of Merger, dated January 17, 2014, among the issuer, Teva Pharmaceutical Industries Ltd. and Train Merger Sub, Inc.(the "Merger Agreement"), in exchange for $3.65 per share, plus contractual rights to receive up to an additional $3.15 in contingent cash consideration payments per share. |
(2) | Includes all restricted stock units that became fully vested upon the consummation of the Merger. |
(3) | Pursuant to the Merger Agreement, all options became fully vested upon the consummation of the Merger. |
(4) | Pursuant to the Merger Agremeent, the option was converted into the right to receive, at the earliest date at which the sum of (1) the $3.65 per share cash portion of the merger consideration and (2) the amount per share in cash previously paid or to be paid at such date in connection with the Contingent Cash Consideration Agreement entered into in connection with the Merger Agreement (such sum, the "Per Share Paid Value") exceeds the per-share exercise price under the option: (x) an amount in cash equal to the number of shares of common stock subject to the option multiplied by the excess of (i) the then applicable Per Share Paid Value over (ii) the per-share exercise price under the option; and (y) the right to receive, in respect of each share of common stock subject to the option, each contingent cash consideration payment that, as of such date, has not yet become payable. |