SEC Form 4 · accession 0000904454-16-001185
Sagent Pharmaceuticals, Inc. · SGNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 21, 2016
Accepted (ET)
Apr 25, 2016 · 4:37 pm EDT
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,F2 | Apr 21, 2016 | S | 2,299 | $13.55 | D | 3,456,332 | I | See footnote |
| Common StockF1,F3 | Apr 21, 2016 | S | 17 | $13.55 | D | 25,320 | 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 $13.55 to $13.57 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.
- F2Includes 3,456,332 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.
- F3Includes [25,320] 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.