FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/19/2011 |
3. Issuer Name and Ticker or Trading Symbol
Sagent Holding Co. [ SGNT ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1) | 1,275,868 | I | See Footnote(2) |
Common Stock(3) | 2,882,094 | I | See Footnote(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Represents shares of Common Stock deemed beneficially owned by the undersigned on account of the automatic conversion of its 10,000,001 ordinary shares of Sagent Holding Co., a Cayman Islands company, in connection with its reincorporation as a Delaware corporation pursuant to a Certificate of Conversion filed with the Secretary of State of the State of Delaware (the "Reincorporation"), and the related one-for-7.8378 reverse stock split to be implemented in connection therewith. The Reincorporation will become effective prior to the closing of the initial public offering. |
2. 1,261,068 shares are held of record by Vivo Ventures Fund V, L.P., and 14,800 shares are held of record by Vivo Ventures V Affiliates Fund, L.P. (the "Vivo V Funds"). Vivo Ventures V, LLC, the sole general partner of the Vivo V Funds, may be deemed to beneficially own the reported shares. Vivo Ventures V, LLC hereby disclaims any beneficial ownership of any shares directly held by the Vivo V Funds, except to the extent of its pecuniary interest therein. |
3. Represents shares of Common Stock deemed beneficially owned by the undersigned on account of the automatic conversion of its 22,589,286 Series A preference shares of Sagent Holding Co., a Cayman Islands company, in connection with the Reincorporation, and the related one-for-7.8378 reverse stock split to be implemented in connection therewith. The Reincorporation will become effective prior to the closing of the initial public offering. |
4. 2,848,662 shares are held of record by Vivo Ventures Fund V, L.P., and 33,432 shares are held of record by Vivo Ventures V Affiliates Fund, L.P. (the "Vivo V Funds"). Vivo Ventures V, LLC, the sole general partner of the Vivo V Funds, may be deemed to beneficially own the reported shares. Vivo Ventures V, LLC hereby disclaims any beneficial ownership of any shares directly held by the Vivo V Funds, except to the extent of its pecuniary interest therein. |
/s/ Frank Kung, Vivo Ventures V, LLC, by Frank Kung, its Managing Member | 04/19/2011 | |
/s/ Frank Kung, Vivo Ventures Fund V, L.P., by Vivo Ventures V, LLC, its General Partner, by Frank Kung, its Managing Member | 04/19/2011 | |
/s/ Frank Kung, Vivo Ventures V Affiliates Fund, L.P., by Vivo Ventures V, LLC, its General Partner, by Frank Kung, its Managing Member | 04/19/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |