-----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, Guo1mCB7XfI+nGL9bg3vGdShSfjRecF9qZvJ39YaZ2NU+WV+IswCVLxkJ6BZSXQT v6uwUElhhfslHf1uRACZoA== 0001104659-09-046096.txt : 20090730 0001104659-09-046096.hdr.sgml : 20090730 20090730210119 ACCESSION NUMBER: 0001104659-09-046096 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090728 FILED AS OF DATE: 20090730 DATE AS OF CHANGE: 20090730 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICHMAN ERIC I CENTRAL INDEX KEY: 0001313876 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 09975156 MAIL ADDRESS: STREET 1: LEV PHARMACEUTICALS INC STREET 2: 122 EAST 42ND STREET STE 206 CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PHARMATHENE, INC CENTRAL INDEX KEY: 0001326190 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 202726770 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE PARK PLACE, SUITE 450 CITY: ANNAPOLIS STATE: MD ZIP: 21401 BUSINESS PHONE: 410 269 2600 MAIL ADDRESS: STREET 1: ONE PARK PLACE, SUITE 450 CITY: ANNAPOLIS STATE: MD ZIP: 21401 FORMER COMPANY: FORMER CONFORMED NAME: HEALTHCARE ACQUISITION CORP DATE OF NAME CHANGE: 20050505 4 1 a4.xml 4 X0303 4 2009-07-28 0 0001326190 PHARMATHENE, INC PIP 0001313876 RICHMAN ERIC I C/O PHARMATHENE, INC. ONE PARK PLACE, SUITE 450 ANNAPOLIS MD 21401 0 1 0 0 SVP, Business Development 10% Unsecured Convertible Note 2.5417 2009-07-28 4 A 0 16453.89 A 2009-07-28 2011-07-28 Common Stock 6473 6473 D Common Stock Warrant 2.50 2009-07-28 4 A 0 2194 A 2010-01-28 2015-01-28 Common Stock 2194 2194 D 8% Unsecured Convertible Note 10.00 2009-07-28 4 J 0 8142.11 D 2009-08-03 Common Stock 814 0 D Immediately convertible into shares of Common Stock of the Issuer at the rate of $10.00 per share. This Note was received in the Merger of PAI Acquisition Corp., a wholly-owned subsidiary of HealthCare Acquisition Corp. (now known as PharmAthene, Inc.) into PharmAthene, Inc. This Note and Warrant was received in an exempt transaction pursuant to a Note and Warrant Purchase Agreement dated as of July 24, 2009, as amended on July 26, 2009 and July 28, 2009, by and among the Issuer and certain investors, pursuant to which the 8% Senior Unsecured Convertible Note (the "Original Note") reported above was exchanged and $7,000.00 was paid for a new Note in the principal amount of $16,453.89 (the "New Note") and the Warrant reported herein. The terms of the New Note include (i) an increase in the interest rate to 10% per annum; (ii) a reduction in the conversion price of the Original Note from $10.00 per share to $2.541667 per share; and (iii) the issuance of a Warrant to purchase an additional 2,194 shares of Common Stock of the Issuer at a purchase price of $2.50 per share. /s/ Roland S. Chase, attorney in fact 2009-07-30 -----END PRIVACY-ENHANCED MESSAGE-----