-----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, BGgVxnleQBut6CTXTugv2EUP2nZzr2TtVMlOMb5K6lLzjtcZuKsxjTL20owfj/En 4lzsoIWgEArx8W8pCvyeEw== 0000947871-09-000435.txt : 20090611 0000947871-09-000435.hdr.sgml : 20090611 20090611214840 ACCESSION NUMBER: 0000947871-09-000435 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090609 FILED AS OF DATE: 20090611 DATE AS OF CHANGE: 20090611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wertheimer Samuel P CENTRAL INDEX KEY: 0001293250 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33451 FILM NUMBER: 09888116 MAIL ADDRESS: STREET 1: 767 THIRD AVENUE, 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Biodel Inc CENTRAL INDEX KEY: 0001322505 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 BUSINESS ADDRESS: STREET 1: 100 SAW MILL ROAD CITY: DANBURY STATE: CT ZIP: 06810 BUSINESS PHONE: 203-796-5000 MAIL ADDRESS: STREET 1: 100 SAW MILL ROAD CITY: DANBURY STATE: CT ZIP: 06810 4 1 ss66170_4ex.xml X0303 4 2009-06-09 0 0001322505 Biodel Inc BIOD 0001293250 Wertheimer Samuel P 767 THIRD AVENUE, 30TH FLOOR NEW YORK NY 10017 1 0 0 0 Common Stock 2009-06-09 4 J 0 300000 0 D 1512892 I By Partnerships Common Stock 2009-06-10 4 S 0 26988 5.24 D 1485904 I By Partnerships Director's Stock Option (right to buy) 14.12 2008-02-02 4 A 0 10000 0 A 2008-02-02 2018-02-27 Common Stock 10000 10000 D On June 9, 2009 OrbiMed Capital GP II LLC ("Capital") made an in-kind distribution, without any additional consideration, of Common Stock to investors in Caduceus Private Investments II, LP ("Caduceus") and Caduceus Private Investments II (QP), LP ("Caduceus QP"), over which Capital has investment management discretion. The Reporting Person disclaims beneficial ownership except to the extent of their pecuniary interest. The report shall not be deemed an admission that the Reporting Person is a beneficial owner for the purpose of Section 16 of the Exchange Act of 1934, as amended, or for any other purpose. The Reporting Person is a principal of OrbiMed Advisors LLC ("Advisors") and Capital. The amount shown represents (i) 991,618 shares of Common Stock directly by Caduceus, (ii) 371,280 shares of Common Stock held directly by Caduceus QP, and (iii) 123,006 shares of Common Stock directly by UBS Juniper Crossover Fund, L.L.C. ("Juniper"). Advisors, pursuant to its authority under its investment advisory contract with Juniper, may be considered to hold indirectly 123,006 shares of Common Stock and Capital, pursuant to its authority under its investment advisory contracts with Caduceus and Caduceus QP, may be considered to hold indirectly 1,362,898 shares of Common Stock. The amount shown represents (i) options to purchase 6,674 shares of Common Stock, held by Caduceus, (ii) options to purchase 2,499 shares of Common Stock, held by Caduceus QP and (iii) options to purchase 827 shares of Common Stock, held by Juniper. The options were granted to Samuel Wertheimer, a director of the Issuer. Mr. Wertheimer is a principal of Advisors and Capital. Mr. Wertheimer is obligated to transfer any shares issued under the options to Advisors and Capital. /s/ Samuel Wertheimer 2009-06-11 -----END PRIVACY-ENHANCED MESSAGE-----