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
OPTIMER PHARMACEUTICALS INC [ OPTR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/04/2009 | ||||||||||||||||||||||||||
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 | 03/04/2009 | P | 175,616 | A | (2) | 1,450,973 | I | by ProQuest Investments II, L.P.(1) | ||
Common Stock | 03/04/2009 | P | 7,450 | A | (2) | 61,556 | I | by ProQuest Investments II Advisors Fund, L.P.(1) | ||
Common Stock | 03/04/2009 | P | 91,533 | A | (2) | 405,998 | I | by ProQuest Investments III, L.P.(1) | ||
Common Stock | 03/04/2009 | P | 183,067 | A | (2) | 811,998 | I | by ProQuest Investments IV, L.P.(1) |
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 | ||||||||
Warrants to purchase common stock | $10.93 | 03/04/2009 | P | 35,123 | 09/09/2009 | 03/09/2014 | Common Stock | 35,123 | (2) | 35,123 | I | by ProQeust Investment II, L.P.(1) | |||
Warrants to purchase common stock | $10.93 | 03/04/2009 | P | 1,490 | 09/09/2009 | 03/09/2014 | Common Stock | 1,490 | (2) | 1,490 | I | by ProQuest Investments II Advisors Funds, L.P.(1) | |||
Warrants to purchase common stock | $10.93 | 03/04/2009 | P | 18,307 | 09/09/2009 | 03/09/2014 | Common Stock | 18,307 | (2) | 18,307 | I | by ProQuest Investments III, L.P.(1) | |||
Warrants to purchase common stock | $10.93 | 03/04/2009 | P | 36,613 | 09/09/2009 | 03/09/2014 | Common Stock | 36,613 | (2) | 36,613 | I | ProQeust Investments, IV, L.P.(1) |
Explanation of Responses: |
1. Dr. Schreiber is a managing partner of ProQuest Investments. Dr. Schreiber disclaims beneficial owenership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed as admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purposes. |
2. The reported securities will be issued under a Unit Purchase Agreement with the Issuer dated March 4, 2009 for a purchase of $10.925 per Unit. Each Unit consists of one share of common stock and a warrant to purchase .20 of a share of Common Stock. |
John D. Prunty, attorney-in-fact | 03/06/2009 | |
** 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. |