-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VMcfMabfSE9TbMKhNfvGXkoLlGyM/BI52AKc6DRCBsnAZ4twLvQZGTwu4ih73BZz 3GAEEwKiG0s7eY9LIsL8cQ== 0001209191-10-051904.txt : 20101027 0001209191-10-051904.hdr.sgml : 20101027 20101027180651 ACCESSION NUMBER: 0001209191-10-051904 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101027 FILED AS OF DATE: 20101027 DATE AS OF CHANGE: 20101027 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HURWITZ EDWARD CENTRAL INDEX KEY: 0001211840 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34921 FILM NUMBER: 101145863 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHAMPSI FARAH CENTRAL INDEX KEY: 0001198321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34921 FILM NUMBER: 101145857 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DELEAGE JEAN CENTRAL INDEX KEY: 0001198323 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34921 FILM NUMBER: 101145858 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PENHOET EDWARD CENTRAL INDEX KEY: 0001198332 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34921 FILM NUMBER: 101145856 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aegerion Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001338042 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 202960116 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1140 ROUTE 22 EAST, SUITE 304 CITY: BRIDGEWATER STATE: NJ ZIP: 08807 BUSINESS PHONE: (908) 704-1300 MAIL ADDRESS: STREET 1: 1140 ROUTE 22 EAST, SUITE 304 CITY: BRIDGEWATER STATE: NJ ZIP: 08807 FORMER COMPANY: FORMER CONFORMED NAME: Aegerion Pharmaceuticals Inc DATE OF NAME CHANGE: 20050906 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALTA BIOPHARMA PARTNERS III LP CENTRAL INDEX KEY: 0001257444 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34921 FILM NUMBER: 101145862 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALTA BIOPHARMA MANAGEMENT III LLC CENTRAL INDEX KEY: 0001280234 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34921 FILM NUMBER: 101145861 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALTA EMBARCADERO BIOPHARMA PARTNERS III LLC CENTRAL INDEX KEY: 0001280238 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34921 FILM NUMBER: 101145859 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALTA BIOPHARMA PARTNERS III GMBH & CO BETEILIGUNGS KG CENTRAL INDEX KEY: 0001280265 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34921 FILM NUMBER: 101145860 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER NAME: FORMER CONFORMED NAME: ALTA BIOPHARMA PARTNERS III GMBH & CO BETEILIGUNGS KG DATE OF NAME CHANGE: 20040213 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2010-10-27 0 0001338042 Aegerion Pharmaceuticals, Inc. AEGR 0001257444 ALTA BIOPHARMA PARTNERS III LP ONE EMBARCADERO CENTER SUITE 3700 CA 94111 0 0 1 0 0001280234 ALTA BIOPHARMA MANAGEMENT III LLC ONE EMBARCADERO CENTER SUITE 3700 CA 94111 0 0 1 0 0001280265 ALTA BIOPHARMA PARTNERS III GMBH & CO BETEILIGUNGS KG ONE EMBARCADERO CENTER SUITE 3700 CA 94111 0 0 1 0 0001280238 ALTA EMBARCADERO BIOPHARMA PARTNERS III LLC ONE EMBARCADERO CENTER SUITE 3700 CA 94111 0 0 1 0 0001198323 DELEAGE JEAN ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198321 CHAMPSI FARAH ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94132 0 0 1 0 0001198332 PENHOET EDWARD ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001211840 HURWITZ EDWARD ONE EMBARCADERO CENTER, SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 2010-10-27 4 C 0 1086336 A 1086336 D Common Stock 2010-10-27 4 C 0 379545 A 1465881 D Common Stock 2010-10-27 4 C 0 700050 7.60 A 2165931 D Common Stock 2010-10-27 4 P 0 289236 9.50 A 2455167 D Common Stock 2010-10-27 4 C 0 72957 A 72957 D Common Stock 2010-10-27 4 C 0 25490 A 98447 D Common Stock 2010-10-27 4 C 0 47010 7.60 A 145457 D Common Stock 2010-10-27 4 P 0 19425 9.50 A 164882 D Common Stock 2010-10-27 4 C 0 26771 A 26771 D Common Stock 2010-10-27 4 C 0 9353 A 36124 D Common Stock 2010-10-27 4 C 0 17250 7.60 A 53374 D Common Stock 2010-10-27 4 P 0 7128 9.50 A 60502 D Series A Convertible Prefered Stock 2010-10-27 4 C 0 2806991 0.00 D Common Stock 1086336 0 D Series A Convertible Prefered Stock 2010-10-27 4 C 0 188514 0.00 D Common Stock 72957 0 D Series A Convertible Prefered Stock 2010-10-27 4 C 0 69176 0.00 D Common Stock 26771 0 D Series B Convertible Preferred Stock 2010-10-27 4 C 0 621923 0.00 D Common Stock 379545 0 D Series B Convertible Preferred Stock 2010-10-27 4 C 0 41768 0.00 D Common Stock 25490 0 D Series B Convertible Preferred Stock 2010-10-27 4 C 0 15327 0.00 D Common Stock 9353 0 D Senior Subordinated Convertible Promissory Notes 7.60 2010-10-27 4 C 0 5320408.54 0.00 D 2011-12-31 Common Stock 700050 0.00 D Senior Subordinated Convertible Promissory Notes 7.60 2010-10-27 4 C 0 357311.91 0.00 D 2011-12-31 Common Stock 47010 0.00 D Senior Subordinated Convertible Promissory Notes 7.60 2010-10-27 4 C 0 131117.33 0.00 D 2011-12-31 Common Stock 17250 0.00 D Upon the closing of the Issuer's initial public offering on October 27, 2010, each share of Series A Convertible Preferred Stock (the "Series A Shares"), plus accrued dividends, automatically converted into shares of common stock of the Issuer in accordance with the terms of the Issuer's Third Amended and Restated Certificate of Incorporation. Each Series A Share converted into 0.38701117412 shares of common stock. Alta BioPharma Management III, LLC ("ABMIII") is the general partner of ABPIII and the managing limited partner of Alta BioPharma Partners III GmbH & Co. Beteiligungs KG ("ABPIIIKG"). Jean Deleage, Farah Champsi, Edward Penhoet and Edward Hurwitz are the directors of ABMIII and managers of Alta Embarcadero BioPharma Partners III, LLC ("AEBPIII"). Alison Kiley, a director of the Issuer, is a member of ABMIII and may be deemed to share investment power over the securities of the Issuer held by ABPIII, ABPIIIKG and AEBPIII with the directors of ABMIII and managers of AEBPIII. Each of Dr. Deleage, Ms. Champsi, Dr. Penhoet and Mr. Hurwitz disclaim beneficial ownership of such securities except to the extent of his or her pecuniary interest therein. These securities are owned directly by ABPIII. Upon the closing of the Issuer's initial public offering on October 27, 2010, each share of Series B Convertible Preferred Stock (the "Series B Shares"), plus accrued dividends, automatically converted into shares of common stock of the Issuer in accordance with the terms of the Issuer's Third Amended and Restated Certificate of Incorporation. Each Series B Share converted into 0.61027657931 basis of common stock. The outstanding principal and accrued and unpaid interest on these Convertible Notes was automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering at $7.60 per share, which is equal to 80% of the Issuer's initial public offering price per share. These securities are owned directly by ABPIIIKG. These securities are owned directly by AEBPIII. The Series A Shares were convertible at any time, at the holder's election, and automatically upon consummation of the Issuer's initial public offering and had no expiration date. The Series B Shares were convertible at any time, at the holder's election, and automatically upon consummation of the Issuer's initial public offering and had no expiration date. The Convertible Notes were issued on September 2, 2008, December 11, 2008, July 2, 2009, January 28, 2010, June 14, 2010, August 13, 2010 and October 1, 2010. Any outstanding principal amount and accrued but unpaid interest thereon was automatically convertible into shares of capital stock of the Issuer upon the consummation of specified sale transactions involving the securities of the Issuer, including an initial public offering of the Issuer's common stock meeting certain conditions. By Alta BioPharma Management Partners III, LLC /s/ Jean Deleage, Director 2010-10-27 /s/ Jean Deleage, Director 2010-10-27 by Alta BioPharma Management Partners III, LLC /s/ Jean Deleage, Director 2010-10-27 /s/ Jean Deleage, Manager 2010-10-27 /s/ Jean Deleage 2010-10-27 /s/ Farah Champsi 2010-10-27 /s/ Edward Penhoet 2010-10-27 /s/ Edward Hurwitz 2010-10-27 -----END PRIVACY-ENHANCED MESSAGE-----