1. Name and Address of Reporting Person * |
Â
Moorin Jay |
|
2. Date of Event Requiring Statement (Month/Day/Year) 02/11/2014 |
3. Issuer Name and Ticker or Trading Symbol EAGLE PHARMACEUTICALS, INC. [EGRX]
|
C/O PROQUEST INVESTMENTS, L.P.., 2430 VANDERBILT BEACH ROAD, 108-190 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director |
__X__ 10% Owner |
_____ Officer (give title below) |
_____ Other (specify below) |
|
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
NAPLES, FL 34109 |
6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
|
Table I - Non-Derivative Securities Beneficially Owned |
|
1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common stock, $0.001 par value
|
39,001
|
I
|
By ProQuest Investments IV, L.P.
(1)
|
Common Stock, $0.001 par value
|
9,360
|
I
|
By ProQuest Management LLC
(2)
|
|
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series A Convertible Preferred Stock
|
Â
(3)
|
Â
(4)
|
Common Stock
|
1,927,986
(5)
|
$
0
|
I
|
By ProQuest Investments IV, L.P.
(1)
|
Series B Convertible Preferred Stock
|
Â
(3)
|
Â
(4)
|
Common Stock
|
1,028,613
(5)
|
$
0
|
I
|
By ProQuest Investments IV, L.P.
(1)
|
Series B-1 Convertible Preferred Stock
|
Â
(3)
|
Â
(4)
|
Common Stock
|
850,520
(5)
|
$
0
|
I
|
By ProQuest Investments IV, L.P.
(1)
|
Series C Convertible Preferred Stock
|
Â
(3)
|
Â
(4)
|
Common Stock
|
569,538
(5)
|
$
0
|
I
|
By ProQuest Investments IV, L.P.
(1)
|
Series C Warrants
|
Â
(6)
|
Â
(6)
|
Common Stock
|
98,368
(5)
|
$
11.67
|
I
|
By ProQuest Investments IV, L.P.
(1)
|
Series B-1 Convertible Preferred Stock
|
Â
(3)
|
Â
(4)
|
Common Stock
|
62,575
(5)
|
$
0
|
I
|
By ProQuest Management LLC Plans
(7)
|
Series C Convertible Preferred Stock
|
Â
(3)
|
Â
(4)
|
Common Stock
|
9,359
(5)
|
$
0
|
I
|
By ProQuest Management LLC Plans
(7)
|
Series C Warrants
|
Â
(6)
|
Â
(6)
|
Common Stock
|
1,614
(5)
|
$
11.67
|
I
|
By ProQuest Management LLC Plans
(7)
|
Stock Option (right to buy)
|
Â
(8)
|
03/06/2018 |
Common Stock
|
2,340
|
$
0.14
|
I
|
By ProQuest Management LLC
(2)
|
Stock Option (right to buy)
|
Â
(9)
|
06/09/2019 |
Common Stock
|
2,340
|
$
0.63
|
I
|
By ProQuest Management LLC
(2)
|
Stock Option (right to buy)
|
Â
(10)
|
03/06/2020 |
Common Stock
|
2,340
|
$
1.37
|
I
|
By ProQuest Management LLC
(2)
|
Stock Option (right to buy)
|
Â
(11)
|
07/12/2021 |
Common Stock
|
2,340
|
$
1.37
|
I
|
By ProQuest Management LLC
(2)
|
Stock Option (right to buy)
|
Â
(12)
|
07/12/2022 |
Common Stock
|
2,340
|
$
1.37
|
I
|
By ProQuest Management LLC
(2)
|
Stock Option (right to buy)
|
Â
(13)
|
04/29/2023 |
Common Stock
|
2,340
|
$
0.69
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
The shares are owned by ProQuest Investments IV, L.P. ("Investments IV"), of which ProQuest Associates IV LLC ("Associates IV") is the general partner. The Reporting Person is a managing members of Associates IV. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. |
(2) |
The shares are owned by ProQuest Management LLC ("ProQuest Management"). The Reporting Person is a managing member of ProQuest Management. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. |
(3) |
Immediately convertible. The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series C Convertible Preferred stock automatically convert into shares of Issuer's common stock immediately prior to the completion of Issuer's initial public offering. |
(4) |
The expiration date is not relevant to the conversion of these securities. |
(5) |
Reflects a 1-for-6.41 reverse stock split, pursuant to which each share of preferred stock became convertible into 1/6.41 of a share of common stock. |
(6) |
In accordance with their terms, the Series C Warrants (the "Warrants") will be net exercised immediately prior to closing of the Issuer's initial public offering into shares of common stock. |
(7) |
The shares held in a ProQuest Management LLC Defined Benefit Pension Plan ("DBPP") FBO Jay Moorin and a ProQuest Management LLC Salary Savings Plan FBO Jay Moorin and for the benefit of certain other individuals. The Reporting Person is a trustee of ProQuest Management LLC DBPP FBO Jay Moorin and the ProQuest Management LLC Salary Savings Plan FBO Jay Moorin and for the benefit of certain other individuals. The Reporting Person disclaims beneficial ownership of such shares except for the shares held by ProQuest Management LLC DBPP FBO Jay Moorin and ProQuest Management LLC Salary Savings Plan FBO and otherwise except to the extent of his pecuniary interest therein. |
(8) |
25% of the shares subject to the option vest in equal annual installments commencing on March 6, 2009. |
(9) |
25% of the shares subject to the option vest in equal annual installments commencing on June 9, 2010. |
(10) |
25% of the shares subject to the option vest in equal annual installments commencing on March 6, 2011. |
(11) |
25% of the shares subject to the option vest in equal annual installments commencing on July 12, 2012. |
(12) |
25% of the shares subject to the option vest in equal annual installments commencing on June 12, 2013. |
(13) |
25% of the shares subject to the option vest in equal annual installments commencing on April 19, 2014. |