SEC Form 3 · accession 0001209191-16-133559
Patheon N.V. · PTHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
JLL Associates V (Patheon), L.P.
10% Owner
JLL Partners Fund VI (Patheon), L.P.
10% Owner
JLL/Patheon Co-Investment Fund, L.P.
10% Owner
JLL/Delta Patheon GP, Ltd.
10% Owner
JLL/Delta Patheon Holdings, L.P.
10% Owner
Patheon Holdco Cooperatief U.A.
10% Owner
Period of report
Jul 20, 2016
Accepted (ET)
Jul 20, 2016 · 8:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001643848
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | holding | — | — | — | 6,106,540 | I | By Patheon Holdco Co?peratief U.A. on behalf of the reporting person | |
| Ordinary SharesF2 | holding | — | — | — | 23,679,949 | I | By JLL/Patheon Co-Investment Fund, L.P. on behalf of the reporting person | |
| Ordinary SharesF3 | holding | — | — | — | 4,996,397 | I | By JLL Partners Fund V (New Patheon), L.P. on behalf of the reporting person | |
| Ordinary SharesF4 | holding | — | — | — | 7,013,339 | I | By JLL Associates V (Patheon), L.P. on behalf of the reporting person | |
| Ordinary SharesF5 | holding | — | — | — | 19,985,589 | I | By JLL Partners Fund VI (Patheon), L.P. on behalf of the reporting person |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents ordinary shares held for the benefit of certain employees of the Issuer through Patheon Holdco Cooperatief U.A., an entity controlled by JLL Associates G.P. V (Patheon), Ltd., which shares will be released to the applicable employee upon the occurrence of a qualifying exit event and the satisfaction of certain additional performance criteria. Each of Patheon Holdco Cooperatief U.A., JLL/Delta Patheon GP, Ltd., JLL/Delta Patheon Holdings, L.P., JLL Patheon Co-Investment Fund, L.P., JLL Associates V (Patheon), L.P. and JLL Associates G.P. V (Patheon), Ltd. disclaims beneficial ownership of such shares except to the extent of such reporting person's pecuniary interest therein.
- F2Represents ordinary shares held directly by JLL Patheon Co-Investment Fund, L.P., an entity of which JLL Associates G.P. V (Patheon), Ltd. is the indirect general partner. Each of JLL Associates G.P. V (Patheon), Ltd. and JLL Associates V (Patheon), L.P. disclaims beneficial ownership of the shares held by JLL Patheon Co-Investment Fund, L.P. except to the extent of such reporting person's pecuniary interest therein.
- F3Represents ordinary shares held directly by JLL Partners Fund V (New Patheon), L.P., an entity of which JLL Associates G.P. V (Patheon), Ltd. is the indirect general partner. JLL Associates G.P. V (Patheon), Ltd. disclaims beneficial ownership of the shares held by JLL Partners Fund V (New Patheon), L.P. except to the extent of such reporting person's pecuniary interest therein.
- F4Represents ordinary shares held directly by JLL Associates V (Patheon), L.P., an entity of which JLL Associates G.P. V (Patheon), Ltd. is the indirect general partner. JLL Associates G.P. V (Patheon), Ltd. disclaims beneficial ownership of the shares held by JLL Associates V (Patheon), L.P. except to the extent of such reporting person's pecuniary interest therein.
- F5Represents ordinary shares held directly by JLL Partners Fund VI (Patheon), L.P., an entity of which JLL Associates G.P. V (Patheon), Ltd. is the indirect general partner. JLL Associates G.P. V (Patheon), Ltd. disclaims beneficial ownership of the shares held by JLL Partners Fund VI (Patheon), L.P. except to the extent of such reporting person's pecuniary interest therein.