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