-----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, CVWXRq8IkY+vCvEWm9fnbLPPPyw5Ww8cYij/5vz/Tj8McMAXwv8XYD3eYfd95cP0 LrVsFAQ3+J0NhMH8Xnp8jw== 0001209191-10-042446.txt : 20100813 0001209191-10-042446.hdr.sgml : 20100813 20100813084147 ACCESSION NUMBER: 0001209191-10-042446 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100811 FILED AS OF DATE: 20100813 DATE AS OF CHANGE: 20100813 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NUPATHE INC. CENTRAL INDEX KEY: 0001375200 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 227 WASHINGTON STREET STREET 2: SUITE 200 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 BUSINESS PHONE: 484-567-0130 MAIL ADDRESS: STREET 1: 227 WASHINGTON STREET STREET 2: SUITE 200 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 FORMER COMPANY: FORMER CONFORMED NAME: NUPATHE INC DATE OF NAME CHANGE: 20060911 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Quaker BioVentures II LP CENTRAL INDEX KEY: 0001497725 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34836 FILM NUMBER: 101012981 BUSINESS ADDRESS: STREET 1: QUAKER BIOVENTURES STREET 2: 2929 ARCH STREET CITY: PHILADELPHIA STATE: PA ZIP: 19104 BUSINESS PHONE: (215) 988-6800 MAIL ADDRESS: STREET 1: QUAKER BIOVENTURES STREET 2: 2929 ARCH STREET CITY: PHILADELPHIA STATE: PA ZIP: 19104 4 1 c04768_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2010-08-11 1 0001375200 NUPATHE INC. PATH 0001497725 Quaker BioVentures II LP C/O QUAKER BIOVENTURES CIRA CENTER 2929 ARCH STREET PHILADELPHIA PA 19104 0 0 1 0 Common Stock 2010-08-11 4 J 0 529849 10 A 529849 D Common Stock 2010-08-11 4 C 0 1827208 A 2357057 D Common Stock 2010-08-11 4 C 0 436125 8 A 2793182 D Common Stock 2010-08-11 4 C 0 286116 A 286116 I By BioAdvance Ventures, L.P. Common Stock 2010-08-11 4 C 0 205763 A 491879 I By BioAdvance Ventures, L.P. Series B Convertible Preferred Stock 0 2010-08-11 4 C 0 12903226 0 D Common Stock 1827208 0 D Warrant (Right to Buy) 7.45 2009-08-20 2016-08-20 Common Stock 37524 37524 D Convertible Promissory Note 8 2010-08-11 4 C 0 3489007 0 D Common Stock 436125 37524 D Series A Convertible Preferred Stock 0 2010-08-11 4 C 0 1792115 0 D Common Stock 286116 0 I By BioAdvance Ventures, L.P. Series B Convertible Preferred Stock 0 2010-08-11 4 C 0 1433692 0 D Common Stock 205763 0 I By BioAdvance Ventures, L.P. Warrant (Right to Buy) 7.45 2009-08-20 2016-08-20 Common Stock 3127 3127 I By BioAdvance Ventures, L.P. Shares issued upon the closing of the Issuer's initial public offering at the initial public offering price of $10.00 per share. The shares of Series B Convertible Preferred Stock, including all accrued and unpaid dividends thereon, converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's initial public offering, and had no expiration date. The Convertible Promissory Note, including all accrued and unpaid interest thereon, converted automatically into Common Stock upon the closing of the Issuer's initial public offering. The shares of Series A Convertible Preferred Stock, including all accrued and unpaid dividends thereon, converted automatically into Common Stock, on a 1-for-8.0149 basis, upon the closing of the Issuer's initial public offering, and had no expiration date. These securities are owned by BioAdvance Ventures, L.P., which is under common control with Quaker BioVentures II, L.P. Quaker BioVentures II, L.P. disclaims beneficial ownership of these securities except to the extent of its proportionate pecuniary interest therein. The Series B Convertible Preferred Stock Warrants held by the reporting person and BioAdvance Ventures, L.P., each previously reported on a Form 3, converted automatically into warrants to purchase shares of Common Stock upon the closing of the Issuer's initial public offering. Quaker BioVentures II, L.P., By: Quaker BioVentures Capital II, L.P., its general partner, By: Quaker BioVentures Capital II, LLC, its general partner, By: /s/ Richard S. Kollender, Vice President 2010-08-11 -----END PRIVACY-ENHANCED MESSAGE-----