SEC Form 4 · accession 0001209191-15-083401
SUPERNUS PHARMACEUTICALS, INC. · SUPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
M James Barrett
Director
Period of report
Dec 3, 2015
Accepted (ET)
Dec 3, 2015 · 8:14 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 | Dec 3, 2015 | J | 3,820,625 | $0.00 | D | 0 | I | See Note 2 |
| Common StockF4 | Dec 3, 2015 | J | 1,172,932 | $0.00 | A | 1,172,932 | I | See Note 4 |
| Common StockF4 | Dec 3, 2015 | J | 1,172,932 | $0.00 | D | 0 | I | See Note 4 |
| Common Stock | Dec 3, 2015 | J | 41,426 | $0.00 | A | 115,355 | D | |
| Common StockF8 | Dec 3, 2015 | J | 20,713 | $0.00 | A | 57,678 | I | See Note 8 |
| Common StockF10 | Dec 3, 2015 | J | 11,980 | $0.00 | A | 33,360 | I | See Note 10 |
| Common StockF12 | Dec 3, 2015 | J | 8,733 | $0.00 | A | 24,317 | I | See Note 12 |
| Common StockF14 | Dec 3, 2015 | J | 212,970 | $0.00 | A | 212,970 | I | See Note 14 |
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 December 3, 2015.
- F10The Reporting Person is the trustee of the Radhika Barrett Trust, 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 the Radhika Barrett Trust in which the Reporting Person has no pecuniary interest.
- F11The April P. Barrett Grandchildren's Trust (the "Grandchildren's Trust") received 8,733 shares of common stock of the Issuer in the distribution by NEA Partners 11 on December 3, 2015.
- F12The 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 the Grandchildren's Trust in which the Reporting Person has no pecuniary interest.
- F13New Enterprise Associates, LLC ("NEA LLC") received 212,970 shares of Common Stock of the Issuer in the distribution by NEA Partners 11 on December 3, 2015.
- F14The 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 December 3, 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 December 3, 2015.
- F6The Reporting Person received 41,426 shares of common stock of the Issuer in the distribution by NEA Partners 11 on December 3, 2015.
- F7The Barrett 2006 Family Trust received 20,713 shares of common stock of the Issuer in the distribution by NEA Partners 11 on December 3, 2015.
- F8The shares are directly held by the Barrett 2006 Family Trust. 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 the Barrett 2006 Family Trust in which the Reporting Person has no pecuniary interest.
- F9The Radhika Barrett Trust (the "Radhika Barrett Trust") received 11,980 shares of common stock of the Issuer in the distribution by NEA Partners 11 on December 3, 2015.