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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 Purchase Warrants (right to buy) | $ 20 (2) | 01/07/2009 | H(2) | 500,000 | 01/07/2009 | 07/01/2010(2) | Common Stock | 500,000 | $ 0 (2) | 0 | D | ||||
Stock Purchase Warrants (right to buy) | $ 30 (2) | 01/07/2009 | H(2) | 1,000,000 | 01/07/2009 | 07/01/2011(2) | Common Stock | 1,000,000 | $ 0 (2) | 0 | D | ||||
Stock Purchase Warrants (right to buy) | $ 40 (2) | 01/07/2009 | H(2) | 1,500,000 | 01/07/2009 | 07/02/2012(2) | Common Stock | 1,500,000 | $ 0 (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rosebay Medical Co L.P. C/O NORTH BAY ASSOCIATES 14000 QUAIL SPRINGS PARKWAY #2200 OKLAHOMA CITY, OK 73134 |
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/s/ Frank S. Vellucci, as Assistant Secretary of Rosebay Medical Company, Inc., the general partner of Rosebay Medical Company L.P. | 09/07/2012 | |
**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) | These securities were purchased by Purdue Pharma L.P. pursuant to the Securities Purchase Agreement between the Issuer, Purdue Pharma L.P., Beacon Company and the Reporting Person, dated July 17, 2012 (the "Securities Purchase Agreement"). The Reporting Person and Beacon Company are the ultimate parents of Purdue Pharma L.P. The Reporting Person disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein. |
(2) | These warrants expired and were not exercised by the holder. |