SEC Form 3 · accession 0001209191-17-022864
Valeritas Holdings Inc. · VLRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Mar 22, 2017
Accepted (ET)
Mar 24, 2017 · 7:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001619250
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | holding | — | — | — | 570,258 | I | By Capital Royalty Partners II Parallel Fund ?B? (Cayman) L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF2,F3 | — | holding | — | — | — | — | — | Common Stock | 1,322,868 | — | I |
Explanation of responses
- F1The Reporting Person is the sole limited partner of one of five related entities, the investment decisions of which are managed by Capital Royalty L.P., and which in the aggregate own in excess of 10% of the Issuer's Common Stock.
- F2The Reporting Person is the sole limited partner of Capital Royalty Partners II Parallel Fund "B" (Cayman) L.P.
- F3Each share of Series A Convertible Preferred Stock will be convertible into one of Issuer's Common Stock for no additional consideration upon the completion of the Issuer's initial public offering.