0001179110-13-006939.txt : 20130418
0001179110-13-006939.hdr.sgml : 20130418
20130418102318
ACCESSION NUMBER: 0001179110-13-006939
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130416
FILED AS OF DATE: 20130418
DATE AS OF CHANGE: 20130418
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Omthera Pharmaceuticals, Inc.
CENTRAL INDEX KEY: 0001477598
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 263797738
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 707 STATE ROAD
CITY: NEW JERSEY
STATE: NJ
ZIP: 08540
BUSINESS PHONE: 908-741-4323
MAIL ADDRESS:
STREET 1: 707 STATE ROAD
CITY: NEW JERSEY
STATE: NJ
ZIP: 08540
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SOFINNOVA CAPITAL VI FCPR
CENTRAL INDEX KEY: 0001441261
STATE OF INCORPORATION: XX
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35869
FILM NUMBER: 13768458
BUSINESS ADDRESS:
STREET 1: C/O SOFINNOVA PARTNERS
STREET 2: 17 RUE DE SURENE
CITY: PARIS
STATE: XX
ZIP: 75008
BUSINESS PHONE: 33 1 53 054100
MAIL ADDRESS:
STREET 1: C/O SOFINNOVA PARTNERS
STREET 2: 17 RUE DE SURENE
CITY: PARIS
STATE: XX
ZIP: 75008
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sofinnova Partners SAS
CENTRAL INDEX KEY: 0001574139
STATE OF INCORPORATION: I0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35869
FILM NUMBER: 13768459
BUSINESS ADDRESS:
STREET 1: 17 RUE DE SERENE
CITY: PARIS
STATE: I0
ZIP: 75008
BUSINESS PHONE: 33 1 53 05 41 13
MAIL ADDRESS:
STREET 1: 17 RUE DE SERENE
CITY: PARIS
STATE: I0
ZIP: 75008
4
1
edgar.xml
FORM 4 -
X0306
4
2013-04-16
0
0001477598
Omthera Pharmaceuticals, Inc.
OMTH
0001441261
SOFINNOVA CAPITAL VI FCPR
17, RUE DE SERENE
PARIS
I0
75008
FRANCE
0
0
1
0
0001574139
Sofinnova Partners SAS
17, RUE DE SERENE
PARIS
I0
75008
FRANCE
0
0
1
0
Common Stock
2013-04-16
4
C
0
5745044
0
A
5745044
D
Common Stock
2013-04-16
4
C
0
156250
0.01
A
5901294
D
Common Stock
2013-04-16
4
S
0
196
8.00
D
5901098
D
Common Stock
2013-04-16
4
C
0
633219
8.00
A
6534317
D
Common Stock
2013-04-16
4
P
0
625000
8.00
A
7159317
D
Series A Convertible Preferred Stock
2013-04-16
4
C
0
4350000
D
Common Stock
3117609
0
D
Series B Convertible Preferred Stock
2013-04-16
4
C
0
3666061
D
Common Stock
2627435
0
D
Warrant (right to buy)
0.01
2013-04-16
4
C
0
156250
0
D
2013-04-16
2023-02-15
Common Stock
156250
0
D
Secured Convertible Promissory Note
8.00
2013-04-16
4
C
0
633219
D
2013-04-16
2014-02-15
Common Stock
633219
0
D
Represents the total number of shares received upon conversion of shares of the Issuer's Series A Convertible Preferred Stock (the "Series A Shares") and Series B Convertible Preferred Stock (the "Series B Shares" and together with the Series A Shares, the "Preferred Shares").
Sofinnova Partners SAS is the managing company of Sofinnova Capital VI FCPR and disclaims beneficial ownership of these shares except to the extent of its pecuniary interest therein, if any.
Represents the total number of shares received upon conversion of the reporting person's warrant.
Effective upon the closing of the Issuer's initial public offering ("IPO") of its Common Stock, the reporting person's warrant automatically converted into 156,250 shares of Common Stock. The reporting person paid the exercise price of $0.01 per share of the warrant on a cashless basis, resulting in the Issuer's withholding of 196 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 156,054 shares.
Represents the total number of shares received upon conversion of the Secured Convertible Promissory Note issued to the reporting person.
Effective upon the closing of the Issuer's IPO of its Common Stock, each Preferred Share automatically converted at a ratio of 1.3953-to-1 into the number of shares of Common Stock shown in column 7. The Preferred Shares had no expiration date.
This is the maturity date of the Secured Convertible Promissory Note.
The Secured Convertible Promissory Note was issued to the reporting person in exchange for $5,000,000. Effective upon the closing of the Issuer's IPO of its Common Stock, the Secured Convertible Promissory Note automatically converted into the number of shares of Common Stock shown in column 7.
/s/Christian S. Schade, Attorney-in-Fact
2013-04-18
/s/Christian S. Schade, Attorney-in-Fact
2013-04-18