SEC Form 4 · accession 0001140361-16-088383
NOVELION THERAPEUTICS INC. · NVLN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
STONEPINE CAPITAL, L.P.
10% Owner
Period of report
Nov 29, 2016
Accepted (ET)
Dec 1, 2016 · 3:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000827809
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible 2.0% Senior NotesF2,F3,F4,F1 | $40.147 | Nov 29, 2016 | A | 24,000,000 | A | Feb 15, 2019 | — | Common Stock | 597,799 | 24,000,000 | D |
Explanation of responses
- F1These notes do not expire, but mature on August 15, 2019, unless earlier repurchased or converted.
- F2Received in exchange for an equal number of Convertible 2.0% Senior Notes of Aegerion Pharmaceuticals, Inc. ("AEGR") in connection with the merger on November 29, 2016 in which AEGR became an indirect wholly-owned subsidiary of the Issuer.
- F3The filers (the "Filers") are Stonepine Capital, L.P. (the "Fund"), Stonepine Capital Management, LLC (the "General Partner"), Jon M. Plexico and Timothy P. Lynch. The General Partner is the general partner and investment adviser of the Fund. Mr. Plexico and Mr. Lynch are the General Partner's managers and control persons. These securities are held directly by the Fund for the benefit of its investors and are indirectly beneficially owned by the General Partner and Mr. Plexico and Mr. Lynch as the General Partner's control persons. The Fund is filing this Form 4 for itself and the other Filers.
- F4The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each Filer disclaims beneficial ownership of these securities except to the extent of that Filer's pecuniary interest therein.