0001104659-11-064130.txt : 20111115
0001104659-11-064130.hdr.sgml : 20111115
20111115060034
ACCESSION NUMBER: 0001104659-11-064130
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111114
FILED AS OF DATE: 20111115
DATE AS OF CHANGE: 20111115
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CERRONE GABRIEL
CENTRAL INDEX KEY: 0001253803
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35268
FILM NUMBER: 111205468
MAIL ADDRESS:
STREET 1: 33 PHAETON DRIVE
CITY: MELVILLE
STATE: NY
ZIP: 11747
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SYNERGY PHARMACEUTICALS, INC.
CENTRAL INDEX KEY: 0001347613
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 203823853
STATE OF INCORPORATION: FL
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 1609
CITY: NEW YORK
STATE: NY
ZIP: 10170
BUSINESS PHONE: 212-297-0010
MAIL ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 1609
CITY: NEW YORK
STATE: NY
ZIP: 10170
FORMER COMPANY:
FORMER CONFORMED NAME: Synergy Pharmaceuticals, Inc.
DATE OF NAME CHANGE: 20080812
FORMER COMPANY:
FORMER CONFORMED NAME: PAWFECT FOODS INC
DATE OF NAME CHANGE: 20051221
4
1
a4.xml
4
X0304
4
2011-11-14
0
0001347613
SYNERGY PHARMACEUTICALS, INC.
SGYP
0001253803
CERRONE GABRIEL
C/O SYNERGY PHARMACEUTICALS, INC.
420 LEXINGTON AVENUE, SUITE 1609
NEW YORK
NY
10170
1
0
0
0
Chairman
Common Stock
2011-11-14
4
P
0
470588
2.125
A
845527
I
By Panetta Partners, Ltd.
Common Stock Purchase Warrants
2.75
2011-11-14
4
P
0
470588
0
A
2011-11-14
2016-11-14
Common Stock
470588
470588
I
By Panetta Partners, Ltd.
Mr. Cerrone purchased 470,588 units of the issuer through Panetta Partners, Ltd. in a private placement at a purchase price of $2.125 per unit. Each unit consisted of one share of common stock and one common stock purchase warrant. Mr. Cerrone is the sole managing partner of Panetta Partners, Ltd. and in such capacity exercises voting and dispositive control over securities owned by Panetta Partners, Ltd. despite him having only a small pecuniary interest in such securities.
Does not include 2,725,063 shares of common stock issuable upon exercise of stock options held by Mr. Cerrone of which options to purchase 1,800,00 shares of common stock are exercisable upon a change of control of the Issuer.
Gabriele M. Cerrone
2011-11-15