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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 | ||||||||
Warrant (right to buy) | $ 2 | 02/06/2014 | C | 1,500,000 | 04/23/2013 | 10/23/2017 | Common Stock | 1,500,000 | $ 0 | 0 | I | By S.R.One, Limited (3) | |||
Warrant (right to buy) | $ 7.45 | 02/21/2014 | J(2) | 15,635 | (2) | (2) | Common Stock | 15,635 | (2) | 0 | I | By S.R.One, Limited (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLAXOSMITHKLINE PLC 980 GREAT WEST ROAD BRENTFORD MIDDLESEX, X0 TW8 9GS |
Former 10% Shareholder |
/s/ Simon Dingemans, Chief Financial Officer | 02/24/2014 | |
**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) | On February 21, 2014, Train Merger Sub, Inc. ("Purchaser"), an indirect, wholly-owned subsidiary of Teva Pharmaceutical Industries Ltd. ("Teva"), accepted for payment the shares of Common Stock of NuPathe, Inc. (the "Issuer") tendered by S.R. One, Limited in accordance with the terms of the Tender Offer Statement filed by Purchaser and Teva to purchase all outstanding shares of Common Stock of the Issuer for $3.65 net per share and up to $3.15 per share in contingent cash consideration (collectively, the "Offer Price"). |
(2) | Each outstanding unexercised warrant to purchase or otherwise acquire Common Stock of the Issuer immediately prior to the closing of the offer pursuant to the Tender Offer Statement, as a consequence of the offer closing, only entitle the holder thereof to receive, upon exercise of such warrant, the amount by which the Offer Price exceeds the exercise price of such warrant. |
(3) | Shares are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. |