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