0001171843-17-002741.txt : 20170505 0001171843-17-002741.hdr.sgml : 20170505 20170505170907 ACCESSION NUMBER: 0001171843-17-002741 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170504 FILED AS OF DATE: 20170505 DATE AS OF CHANGE: 20170505 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AKORN INC CENTRAL INDEX KEY: 0000003116 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 720717400 STATE OF INCORPORATION: LA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1925 W. FIELD COURT, SUITE 300 CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 847-279-6100 MAIL ADDRESS: STREET 1: 1925 W. FIELD COURT, SUITE 300 CITY: LAKE FOREST STATE: IL ZIP: 60045 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAPOOR JOHN N CENTRAL INDEX KEY: 0001033150 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32360 FILM NUMBER: 17819403 MAIL ADDRESS: STREET 1: 225 E DEERPATH RD STE 250 CITY: LAKE FOREST STATE: IL ZIP: 60045 4 1 f4_050417kapoor.xml OWNERSHIP DOCUMENT X0306 4 2017-05-04 0 0000003116 AKORN INC AKRX 0001033150 KAPOOR JOHN N 1925 WEST FIELD COURT SUITE 300 LAKE FOREST IL 60045 1 0 1 0 Common Stock 2017-05-04 4 A 0 8088 0.00 A 513479 D Common Stock 4907524 I By Trust Common Stock 15050000 I Indirect Managing General Partner Common Stock 2970644 I Indirect Managing General Partner Common Stock 3590445 I Indirect Managing General Partner Common Stock 4427462 I By Trusts The securities acquired are Restricted Stock Units (RSUs) scheduled to vest in four equal installments on May 4, 2018, May 4, 2019, May 4, 2020 and May 4, 2021. Following the reported transaction, the amount of shares beneficially owned includes 11,583 unvested shares subject to RSUs and 501,896 shares owned outright. These securities are beneficially owned by John N. Kapoor, Ph.D., who is a member of a "group" with Akorn Holdings, L.P. for purposes of Section 13(d) of the Exchange Act. Shares held by the John N. Kapoor Trust dated September 20, 1989, of which Dr. Kapoor is sole trustee and beneficiary. Shares held by Akorn Holdings, LP, a Delaware limited partnership, of which Dr. Kapoor is the indirect managing general partner. Dr. Kapoor disclaims beneficial ownership of such shares except to the extent of his actual pecuniary interest therein. Shares held by EJ Financial / Akorn Management L.P., a Delaware limited partnership, of which Dr. Kapoor is the indirect managing general partner. Dr. Kapoor disclaims beneficial ownership of such shares except to the extent of his actual pecuniary interest therein. Shares held by EJ Funds LP, a Delaware limited partnership, of which Dr. Kapoor is the indirect managing general partner. Dr. Kapoor disclaims beneficial ownership of such shares except to the extent of his actual pecuniary interest therein. Shares held through several trusts, the trustee of which is employed by a company controlled by Dr. Kapoor and the beneficiaries of which include Dr. Kapoor's children and various other family members. Dr. Kapoor disclaims beneficial ownership of such shares except to the extent of his actual pecuniary interest therein. /s/ Joseph Bonaccorsi, Attorney-in-Fact 2017-05-05