SEC Form 4 · accession 0001181431-15-008373
SUPERNUS PHARMACEUTICALS, INC. · SUPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter J Barris
10% Owner
Period of report
Jun 15, 2015
Accepted (ET)
Jun 17, 2015 · 8:34 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001356576
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jun 15, 2015 | J | 3,000,000 | $0.00 | D | 7,641,250 | I | See Note 2 |
| Common StockF4 | Jun 15, 2015 | J | 921,000 | $0.00 | A | 921,000 | I | See Note 4 |
| Common StockF4 | Jun 15, 2015 | J | 921,000 | $0.00 | D | 0 | I | See Note 4 |
| Common StockF7 | Jun 15, 2015 | J | 59,849 | $0.00 | A | 59,849 | I | See Note 7 |
| Common StockF9 | Jun 15, 2015 | J | 14,956 | $0.00 | A | 14,956 | I | See Note 9 |
| Common StockF11 | Jun 15, 2015 | J | 166,986 | $0.00 | A | 166,986 | I | See Note 11 |
| Common StockF12,F11 | Jun 16, 2015 | S | 55,105 | $16.8527 | D | 111,881 | I | See Note 11 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1New Enterprise Associates 11, Limited Partnership ("NEA 11") made a pro rata distribution for no consideration of an aggregate of 3,000,000 shares of common stock of the Issuer to its general partner and its limited partners on June 15, 2015.
- F10New Enterprise Associates, LLC ("NEA LLC") received 166,986 shares of common stock of the Issuer in the distribution by NEA Partners 11 on June 15, 2015.
- F11The Reporting Person is a member of the Board of Directors of NEA LLC, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the shares of common stock of the Issuer held by NEA LLC in which the Reporting Person has no pecuniary interest.
- F12The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.8133 to $16.917, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (12) to this Form 4.
- F2The shares are directly held by NEA 11 and indirectly held by NEA Partners 11, Limited Partnership ("NEA Partners 11"), the sole general partner of NEA 11, NEA 11 GP, LLC ("NEA 11 GP"), the sole general partner of NEA Partners 11, and the individual managers of NEA 11 GP (NEA Partners 11, NEA 11 GP and the individual managers of NEA 11 GP together, the "NEA 11 Indirect Reporting Persons"). The individual managers of NEA 11 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Krishna "Kittu" Kolluri and Scott D. Sandell. The NEA 11 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 11 shares in which the NEA 11 Indirect Reporting Persons have no pecuniary interest.
- F3NEA Partners 11 received 921,000 shares of common stock of the Issuer in the distribution by NEA 11 on June 15, 2015.
- F4The shares are directly held by NEA Partners 11 and indirectly held by NEA 11 GP, the sole general partner of NEA Partners 11, and the individual managers of NEA 11 GP (NEA 11 GP and the individual managers of NEA 11 GP together, the "NEA Partners 11 Indirect Reporting Persons"). The individual managers of NEA 11 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Krishna "Kittu" Kolluri and Scott D. Sandell. The NEA Partners 11 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 11 shares in which the NEA Partners 11 Indirect Reporting Persons have no pecuniary interest.
- F5NEA Partners 11 made a pro rata distribution for no consideration of an aggregate of 921,000 shares of common stock of the Issuer to its limited partners on June 15, 2015.
- F6PJ Barris, LLC received 59,849 shares of common stock of the Issuer in the distribution by NEA Partners 11 on June 15, 2015.
- F7The shares are held directly by PJ Barris, LLC. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, of such portion of the shares of common stock of the Issuer held by the PJ Barris, LLC in which the Reporting Person has no pecuniary interest.
- F8The PDB LLC received 14,956 shares of common stock of the Issuer in the distribution by NEA Partners 11 on June 15, 2015.
- F9The shares are held directly by PDB LLC. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, of such portion of the shares of common stock of the Issuer held by PDB LLC in which the Reporting Person has no pecuniary interest.