FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Corium International, Inc. [ CORI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/08/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 04/08/2014 | C | 679,115 | A | (1) | 679,115 | D | |||
Common Stock | 04/08/2014 | C | 2,028,309 | A | (1) | 2,704,424 | D | |||
Common Stock | 04/08/2014 | X | 397,718 | A | (3) | 3,105,142 | D | |||
Common Stock | 04/08/2014 | X | 26,385 | A | (3) | 3,131,527 | D | |||
Common Stock | 04/08/2014 | X | 214,149 | A | (3) | 3,345,676 | D | |||
Common Stock | 04/08/2014 | X | 1,114 | A | (3) | 3,346,790 | D | |||
Common Stock | 04/08/2014 | X | 218,279 | A | (3) | 3,565,069 | D | |||
Common Stock | 04/08/2014 | X | 794 | A | (4) | 3,565,863 | D | |||
Common Stock | 04/08/2014 | X | 397 | A | (4) | 3,566,260 | D | |||
Common Stock | 04/08/2014 | C | 3,387,146 | A | (5) | 6,953,406 | D | |||
Common Stock | 04/08/2014 | C | 1,999,898 | A | (5) | 8,953,304 | D | |||
Common Stock | 04/08/2014 | P | 400,000 | A | $8 | 9,353,304 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series B Convertible Preferred Stock | (1) | 04/08/2014 | C | 6,859,066 | (1) | (1) | Common Stock | 679,115(2) | $0 | 0 | D | ||||
Series C Convertible Preferred Stock | (1) | 04/08/2014 | C | 20,485,926 | (1) | (1) | Common Stock | 2,028,309(2) | $0 | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 397,718 | (3) | 08/02/2017 | Common Stock | 397,718 | (3) | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 26,385 | (3) | 08/02/2017 | Common Stock | 26,385 | (3) | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 214,149 | (3) | 08/02/2017 | Common Stock | 214,149 | (3) | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 1,114 | (3) | 08/02/2017 | Common Stock | 1,114 | (3) | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 218,279 | (3) | 08/02/2017 | Common Stock | 218,279 | (3) | 0 | D | ||||
Warrant to Purchase Series C Convertible Preferred Stock | (4) | 04/08/2014 | X | 109,015 | (4) | 07/02/2020 | Common Stock | 794(2) | (4) | 0 | D | ||||
Warrant to Purchase Series C Convertible Preferred Stock | (4) | 04/08/2014 | X | 54,507 | (4) | 12/29/2020 | Common Stock | 397(2) | (4) | 0 | D | ||||
Convertible Promissory Notes | (5) | 04/08/2014 | C | 3,387,146 | (5) | 07/01/2017 | Common Stock | 3,387,146 | (5) | 0(5) | D | ||||
Convertible Promissory Notes | (5) | 04/08/2014 | C | 1,999,898 | (5) | 07/01/2017 | Common Stock | 1,999,898 | (5) | 0 | D |
Explanation of Responses: |
1. The shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock in connection with the Issuer's initial public offering and had no expiration date. |
2. The number of shares reflects a 10.1-for-1 reverse stock split of all outstanding shares of Common Stock effected on March 21, 2014. |
3. The warrants were automatically net exercised in connection with the Issuer's initial public offering at an exercise price of $2.12100 per share. |
4. The warrants were automatically net exercised in connection with the Issuer's initial public offering at an exercise price of $7.41140 per share. |
5. The principal amount and accrued interest automatically converted into the specified number of shares of Common Stock in connection with the Issuer's initial public offering. |
Remarks: |
/s/Lowell Segal, Attorney-in-fact | 04/08/2014 | |
** 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 4 (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. |