0001997608-23-000006.txt : 20231121 0001997608-23-000006.hdr.sgml : 20231121 20231121165926 ACCESSION NUMBER: 0001997608-23-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231113 FILED AS OF DATE: 20231121 DATE AS OF CHANGE: 20231121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Neptune Securities Settlement Fund CENTRAL INDEX KEY: 0001997608 STATE OF INCORPORATION: X1 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33526 FILM NUMBER: 231429000 BUSINESS ADDRESS: STREET 1: C/O POMERANTZ LLP STREET 2: 10 S. LASALLE ST., SUITE 3505 CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-377-1181 MAIL ADDRESS: STREET 1: C/O POMERANTZ LLP STREET 2: 10 S. LASALLE ST., SUITE 3505 CITY: CHICAGO STATE: IL ZIP: 60603 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Neptune Wellness Solutions Inc. CENTRAL INDEX KEY: 0001401395 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: A8 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 545 PROMENADE DU CENTROPOLIS STREET 2: SUITE 100 CITY: LAVAL STATE: A8 ZIP: H7T 0A3 BUSINESS PHONE: (450) 687-2262 MAIL ADDRESS: STREET 1: 545 PROMENADE DU CENTROPOLIS STREET 2: SUITE 100 CITY: LAVAL STATE: A8 ZIP: H7T 0A3 FORMER COMPANY: FORMER CONFORMED NAME: Neptune Technologies & Bioressources Inc. DATE OF NAME CHANGE: 20070530 4 1 primary_doc.xml PRIMARY DOCUMENT X0508 4 2023-11-13 0 0001401395 Neptune Wellness Solutions Inc. NEPT 0001997608 Neptune Securities Settlement Fund C/O POMERANTZ LLP 10 S. LASALLE ST., SUITE 3505 CHICAGO IL 60603 0 0 1 0 0 common stock 2023-11-13 4 S 0 613 0.7 D 2344323 D common stock 2023-11-14 4 S 0 32 0.7 D 2344291 D common stock 2023-11-20 4 S 0 215838 0.8793 D 2128453 D common stock 2023-11-21 4 S 0 98531 0.7724 D 2029922 D Joshua B Silverman 2023-11-21