SEC Form 4 · accession 0001209191-15-084026
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 4, 2015
Accepted (ET)
Dec 8, 2015 · 5:16 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 StockF4,F5 | Dec 4, 2015 | S | 70,990 | $14.5394 | D | 141,980 | I | See Note 5 |
| Common StockF6,F5 | Dec 7, 2015 | S | 71,067 | $14.3835 | D | 70,913 | I | See Note 5 |
| Common StockF7,F5 | Dec 8, 2015 | S | 70,913 | $14.7498 | D | 0 | I | See Note 5 |
| Common Stock | holding | — | — | — | 115,355 | D | ||
| Common StockF1 | holding | — | — | — | 57,678 | I | See Note 1 | |
| Common StockF2 | holding | — | — | — | 33,360 | I | See Note 2 | |
| Common StockF3 | holding | — | — | — | 24,317 | I | See Note 3 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The 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.
- F3The shares are held by the April P. Barrett Grandchildren's Trust (the "Grandchildren's 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 Grandchildren's Trust in which the Reporting Person has no pecuniary interest.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.32 to $14.85, 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 (4) to this Form 4.
- F5The Reporting Person is a member of the Board of Directors of New Enterprise Associates, LLC ("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.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.14 to $14.68, 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 (6) to this Form 4.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.01 to $14.94, 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 (7) to this Form 4.