0001140361-15-037185.txt : 20151008
0001140361-15-037185.hdr.sgml : 20151008
20151008161440
ACCESSION NUMBER: 0001140361-15-037185
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151006
FILED AS OF DATE: 20151008
DATE AS OF CHANGE: 20151008
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Edge Therapeutics, Inc.
CENTRAL INDEX KEY: 0001472091
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 264231384
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 200 CONNELL DRIVE
STREET 2: SUITE 1600
CITY: BERKELEY HEIGHTS
STATE: NJ
ZIP: 07922
BUSINESS PHONE: 800-208-3343
MAIL ADDRESS:
STREET 1: 200 CONNELL DRIVE
STREET 2: SUITE 1600
CITY: BERKELEY HEIGHTS
STATE: NJ
ZIP: 07922
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HEALY JAMES
CENTRAL INDEX KEY: 0001245624
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37568
FILM NUMBER: 151150967
MAIL ADDRESS:
STREET 1: 3000 SAND HILL ROAD, 4-250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
4
1
doc1.xml
FORM 4
X0306
4
2015-10-06
0
0001472091
Edge Therapeutics, Inc.
EDGE
0001245624
HEALY JAMES
C/O SOFINNOVA
3000 SAND HILL ROAD, BLDNG 4, SUITE 250
MENLO PARK
CA
94025
1
0
0
0
Common Stock
2015-10-06
4
C
0
1807703
A
1807703
I
By Fund
Common Stock
2015-10-06
4
P
0
450000
11
A
2257703
I
By Fund
Common Stock
2015-10-06
4
J
0
53665
8.60
A
2311368
I
By Fund
Series C-2 Convertible Preferred Stock
2015-10-06
4
C
0
2473118
0
D
Common Stock
1807703
0
I
By Fund
The convertible preferred stock converted into the Issuer's common stock at a conversion ratio, as adjusted to give effect to the Issuer's 1-for-1.3681 reverse stock split effected on September 21, 2015, of one share of common stock for every 1.3681 shares of preferred stock immediately prior to the closing of the Issuer's initial public offering of common stock, and had no expiration date.
Consists of 1,807,703 shares of common stock owned of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). The Reporting Person is a managing member of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. The Reporting Person disclaims beneficial ownership with regard to such shares, except to the extent of his proportionate pecuniary interest therein.
SVP IX received a total of 53,665 shares of the Issuer's common stock which represented a payment-in-kind dividend on 2,473,118 shares of the Issuer's convertible preferred stock owned by SVP IX at the time of the dividend payment date. The Reporting Person is a managing member of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. The Reporting Person disclaims beneficial ownership with regard to such shares, except to the extent of his proportionate pecuniary interest therein.
/s/ Albert N. Marchio II, attorney in fact
2015-10-08