SEC Form 4 · accession 0000904454-16-001415
Sagent Pharmaceuticals, Inc. · SGNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 29, 2016
Accepted (ET)
Sep 1, 2016 · 6:03 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 | Aug 29, 2016 | U | 2,978,803 | $21.75 | D | 0 | I | See footnote |
| Common StockF1,F3 | Aug 29, 2016 | U | 34,961 | $21.75 | D | 0 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to the Agreement and Plan of Merger by and among Nichi-Iko Pharmaceutical Co. Ltd., Shepard Vision, Inc. and Sagent Pharmaceuticals, Inc. (the "Merger Agreement"), these shares were disposed of in a cash tender offer by Shepard Vision, Inc. to acquire common stock of Sagent Pharmaceuticals, Inc. in exchange for $21.75 per share in cash, without interest, less any applicable withholding taxes (the "Consideration").
- F2Shares previously 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.
- F3Shares previously 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.