UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Catalent, Inc. 14 SCHOOLHOUSE ROAD SOMERSET, NJ 08873 |
 |  X |  |  |
/s/ Steven L. Fasman, Senior Vice President, General Counsel and Secretary | 08/15/2018 | |
**Signature of Reporting Person | Date |
* | 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) | Represents shares of Juniper Pharmaceuticals, Inc. ("Juniper") purchased by Catalent Pharma Solutions, Inc. ("CPS"), a wholly owned subsidiary of PTS Intermediate Holdings LLC (which in turn is a wholly owned subsidiary of Catalent, Inc. ("Catalent")), immediately following the expiration of the tender offer (the "Offer") at 12:00 midnight, New York City time, at the end of August 13, 2018, which Offer was effected in accordance with the Agreement and Plan of Merger, dated July 2, 2018 (the "Merger Agreement"), by and among CPS, Catalent, Catalent Boston, Inc., a wholly owned subsidiary of CPS ("Merger Sub"), and Juniper. On August 14, 2018, in accordance with the terms and conditions of the Merger Agreement, Merger Sub was merged (the "Merger") with and into Juniper, with Juniper continuing as the surviving corporation, and CPS became the sole owner of all of the 1,000 issued and outstanding shares of common stock of the surviving corporation remaining following the Merger. |
(2) | CPS is a wholly owned subsidiary of Catalent. |