SEC Form 4 · accession 0001209191-16-143086
Patheon N.V. · PTHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul S Levy
Director
Period of report
Sep 26, 2016
Accepted (ET)
Sep 28, 2016 · 7:16 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,F2 | Sep 26, 2016 | P | 5,000 | $29.65 | A | 42,000 | I | By Great Point Ventures, LLC |
| Ordinary SharesF3,F2 | Sep 27, 2016 | P | 5,000 | $29.65 | A | 47,000 | I | By Great Point Ventures, LLC |
| Ordinary SharesF4,F2 | Sep 28, 2016 | P | 5,000 | $29.61 | A | 52,000 | I | By Great Point Ventures, LLC |
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 purchased in multiple transactions at prices ranging from $29.47 to $29.87, inclusive. The reporting person undertakes to provide to Patheon N.V., any security holder of Patheon N.V., 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 ranges set forth in footnote (1) to this Form 4.
- F2These shares are held by Great Point Ventures, LLC ("GPV"). The reporting person is the sole manager of GPV, the members of which are certain trusts held for the benefit of family members of the reporting person. The reporting person disclaims beneficial ownership of the securities held by GPV, except to the extent of his pecuniary interest, if any, in the securities by virtue of his ownership of GPV. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $29.40 to $29.95, inclusive. The reporting person undertakes to provide to Patheon N.V., any security holder of Patheon N.V., 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 ranges set forth in footnote (3) to this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $29.55 to $29.65, inclusive. The reporting person undertakes to provide to Patheon N.V., any security holder of Patheon N.V., 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 ranges set forth in footnote (4) to this Form 4.