SEC Form 4 · accession 0000904454-15-000675
Sagent Pharmaceuticals, Inc. · SGNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 6:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001369786
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3 | Nov 2, 2015 | S | 80,015 | $16.8695 | D | 3,496,951 | I | See footnote |
| Common StockF1,F4 | Nov 2, 2015 | S | 939 | $16.8695 | D | 41,041 | I | See footnote |
| Common StockF2,F5 | Nov 3, 2015 | S | 57,565 | $16.32 | D | 3,439,386 | I | See footnote |
| Common StockF2,F6 | Nov 3, 2015 | S | 675 | $16.32 | D | 40,366 | I | See footnote |
| Common StockF7 | Nov 4, 2015 | S | 458,601 | $15.45 | D | 2,980,785 | I | See footnote |
| Common StockF8 | Nov 4, 2015 | S | 5,382 | $15.45 | D | 34,984 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.59 to $17.14 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 purchased at each separate price within the range.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $17.69 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 purchased at each separate price within the range.
- F3Includes 3,496,951 shares held of record by Vivo Ventures Fund V, L.P. ("Fund V") .Vivo Ventures V, LLC, the sole general partner of Fund V, may be deemed to be the beneficial owner of the shares held by Fund V. Vivo Ventures V, LLC hereby disclaims any beneficial ownership of any shares directly held by Fund V, except to the extent of its pecuniary interest therein.
- F4Includes 41,041 shares held of record by Vivo Ventures V Affiliates Fund, L.P. ("V Affiliates Fund"). Vivo Ventures V, LLC, the sole general partner of V Affiliates Fund, may be deemed to be the beneficial owner of the shares held by V Affiliates Fund. Vivo Ventures V, LLC hereby disclaims any beneficial ownership of any shares directly held by V Affiliates Fund, except to the extent of its pecuniary interest therein.
- F5Includes 3,439,386 shares held of record by Vivo Ventures Fund V, L.P. ("Fund V") .Vivo Ventures V, LLC, the sole general partner of Fund V, may be deemed to be the beneficial owner of the shares held by Fund V. Vivo Ventures V, LLC hereby disclaims any beneficial ownership of any shares directly held by Fund V, except to the extent of its pecuniary interest therein.
- F6Includes 40,366 shares held of record by Vivo Ventures V Affiliates Fund, L.P. ("V Affiliates Fund"). Vivo Ventures V, LLC, the sole general partner of V Affiliates Fund, may be deemed to be the beneficial owner of the shares held by V Affiliates Fund. Vivo Ventures V, LLC hereby disclaims any beneficial ownership of any shares directly held by V Affiliates Fund, except to the extent of its pecuniary interest therein.
- F7Includes 2,980,785 shares held of record by Vivo Ventures Fund V, L.P. ("Fund V") .Vivo Ventures V, LLC, the sole general partner of Fund V, may be deemed to be the beneficial owner of the shares held by Fund V. Vivo Ventures V, LLC hereby disclaims any beneficial ownership of any shares directly held by Fund V, except to the extent of its pecuniary interest therein.
- F8Includes 34,984 shares held of record by Vivo Ventures V Affiliates Fund, L.P. ("V Affiliates Fund"). Vivo Ventures V, LLC, the sole general partner of V Affiliates Fund, may be deemed to be the beneficial owner of the shares held by V Affiliates Fund. Vivo Ventures V, LLC hereby disclaims any beneficial ownership of any shares directly held by V Affiliates Fund, except to the extent of its pecuniary interest therein.