SEC Form 4 · accession 0000904454-15-000676
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 · 6:36 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 | 92,843 | $16.8695 | D | 4,057,543 | I | See footnote (3) |
| Common StockF1,F4 | Nov 2, 2015 | S | 680 | $16.8695 | D | 29,725 | I | See footnote (4) |
| Common StockF2,F5 | Nov 3, 2015 | S | 66,793 | $16.32 | D | 3,990,750 | I | See footnote (5) |
| Common StockF2,F6 | Nov 3, 2015 | S | 490 | $16.32 | D | 29,235 | I | See footnote (6) |
| Common StockF7 | Nov 4, 2015 | S | 532,119 | $15.45 | D | 3,458,631 | I | See footnote (7) |
| Common StockF8 | Nov 4, 2015 | S | 3,898 | $15.45 | D | 25,337 | I | See footnote (8) |
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 4,057,543 shares held of record by Vivo Ventures Fund VI, L.P. ("Fund VI"). Vivo Ventures VI, LLC, the sole general partner of Fund VI, may be deemed to be the beneficial owner of the shares held by Fund VI. Vivo Ventures VI, LLC hereby disclaims any beneficial ownership of any shares directly held by Fund VI, except to the extent of its pecuniary interest therein.
- F4Includes 29,725 shares held of record by Vivo Ventures VI Affiliates Fund, L.P. ("VI Affiliates Fund"). Vivo Ventures VI, LLC, the sole general partner of VI Affiliates Fund, may be deemed to be the beneficial owner of the shares held by VI Affiliates Fund. Vivo Ventures VI, LLC hereby disclaims any beneficial ownership of any shares directly held by VI Affiliates Fund, except to the extent of its pecuniary interest therein.
- F5Includes 3,990,750 shares held of record by Vivo Ventures Fund VI, L.P. ("Fund VI"). Vivo Ventures VI, LLC, the sole general partner of Fund VI, may be deemed to be the beneficial owner of the shares held by Fund VI. Vivo Ventures VI, LLC hereby disclaims any beneficial ownership of any shares directly held by Fund VI, except to the extent of its pecuniary interest therein.
- F6Includes 29,235 shares held of record by Vivo Ventures VI Affiliates Fund, L.P. ("VI Affiliates Fund"). Vivo Ventures VI, LLC, the sole general partner of VI Affiliates Fund, may be deemed to be the beneficial owner of the shares held by VI Affiliates Fund. Vivo Ventures VI, LLC hereby disclaims any beneficial ownership of any shares directly held by VI Affiliates Fund, except to the extent of its pecuniary interest therein.
- F7Includes 3,458,631shares held of record by Vivo Ventures Fund VI, L.P. ("Fund VI"). Vivo Ventures VI, LLC, the sole general partner of Fund VI, may be deemed to be the beneficial owner of the shares held by Fund VI. Vivo Ventures VI, LLC hereby disclaims any beneficial ownership of any shares directly held by Fund VI, except to the extent of its pecuniary interest therein.
- F8Includes 25,337 shares held of record by Vivo Ventures VI Affiliates Fund, L.P. ("VI Affiliates Fund"). Vivo Ventures VI, LLC, the sole general partner of VI Affiliates Fund, may be deemed to be the beneficial owner of the shares held by VI Affiliates Fund. Vivo Ventures VI, LLC hereby disclaims any beneficial ownership of any shares directly held by VI Affiliates Fund, except to the extent of its pecuniary interest therein.