SEC Form 4 · accession 0001209191-15-079648
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
Nov 11, 2015
Accepted (ET)
Nov 12, 2015 · 3:46 pm EST
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 | Nov 11, 2015 | J | 3,820,625 | $0.00 | D | 3,820,625 | I | See Note 2 |
| Common StockF4 | Nov 11, 2015 | J | 1,172,932 | $0.00 | A | 1,172,932 | I | See Note 4 |
| Common StockF4 | Nov 11, 2015 | J | 1,172,932 | $0.00 | D | 0 | I | See Note 4 |
| Common StockF7 | Nov 11, 2015 | J | 76,192 | $0.00 | A | 136,041 | I | See Note 7 |
| Common StockF9 | Nov 11, 2015 | J | 19,040 | $0.00 | A | 33,996 | I | See Note 9 |
| Common StockF11 | Nov 11, 2015 | J | 212,650 | $0.00 | A | 212,650 | 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 3,820,625 shares of common stock of the Issuer to its general partner and its limited partners on November 11, 2015.
- F10New Enterprise Associates, LLC ("NEA LLC") received 212,650 shares of common stock of the Issuer in the distribution by NEA Partners 11 on November 11, 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.
- 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 1,172,932 shares of common stock of the Issuer in the distribution by NEA 11 on November 11, 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 1,172,932 shares of common stock of the Issuer to its limited partners on November 11, 2015.
- F6PJ Barris, LLC received 76,192 shares of common stock of the Issuer in the distribution by NEA Partners 11 on November 11, 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 19,040 shares of common stock of the Issuer in the distribution by NEA Partners 11 on November 11, 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.