-----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, UvblMN6yGq4WVXLBODODkLFjXl6/EPmdQo57CDhrVSRssrlCgXiCSrZObER6oshW M6Rv8FYMB/kSNPOtM9qegw== 0001209191-09-042269.txt : 20090827 0001209191-09-042269.hdr.sgml : 20090827 20090827155225 ACCESSION NUMBER: 0001209191-09-042269 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090827 FILED AS OF DATE: 20090827 DATE AS OF CHANGE: 20090827 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brandt Peter C. CENTRAL INDEX KEY: 0001434099 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17254 FILM NUMBER: 091039581 MAIL ADDRESS: STREET 1: NOVEN PHARMACEUTICALS, INC. STREET 2: 11960 SW 144TH STREET CITY: MIAMI STATE: FL ZIP: 33186 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NOVEN PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000815838 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 592767632 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11960 SW 144TH ST CITY: MIAMI STATE: FL ZIP: 33186 BUSINESS PHONE: 3052535099 MAIL ADDRESS: STREET 1: 11960 SW 144TH STREET CITY: MIAMI STATE: FL ZIP: 33185 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-08-27 1 0000815838 NOVEN PHARMACEUTICALS INC NOVN 0001434099 Brandt Peter C. C/O NOVEN PHARMACEUTICALS, INC. 11960 SW 144TH STREET MIAMI FL 33186 1 1 0 0 President and CEO Common Stock ($.0001 par value) 2009-08-27 4 U 0 183333 16.50 D 0 D Stock Appreciation Right 9.10 2009-08-27 4 D 0 311529 0.00 D 2015-04-28 Common Stock ($.0001 par value) 311529 0 D Stock Appreciation Right 11.09 2009-08-27 4 D 0 188471 0.00 D 2015-11-20 Common Stock ($.0001 par value) 188471 0 D Stock Appreciation Right 9.47 2009-08-27 4 D 0 62712 0.00 D 2016-02-03 Common Stock ($.0001 par value) 62712 0 D Represents stock appreciation rights cancelled at the Effective Time (as defined in the Merger Agreement), pursuant to the terms of an Agreement and Plan of Merger among the Issuer, Hisamitsu Pharmaceutical Co., Inc. ("Hisamitsu") and certain subsidiaries of Hisamitsu, dated as of July 14, 2009 (the "Merger Agreement"), in exchange for a cash payment of $2,305,314.60, representing an amount equal to the number of shares of Issuer's common stock underlying such stock appreciation rights multiplied by the tender offer price of $16.50 per share, less the aggregate exercise price of the stock appreciation rights. Represents stock appreciation rights cancelled at the Effective Time, pursuant to the Merger Agreement, in exchange for a cash payment of $1,019,628.10, representing an amount equal to the number of shares of Issuer's common stock underlying such stock appreciation rights multiplied by the tender offer price of $16.50 per share, less the aggregate exercise price of the stock appreciation rights. Represents stock appreciation rights cancelled at the Effective Time, pursuant to the Merger Agreement, in exchange for a cash payment of $440,865.36, representing an amount equal to the number of shares of Issuer's common stock underlying such stock appreciation rights multiplied by the tender offer price of $16.50 per share, less the aggregate exercise price of the stock appreciation rights. /s/ Peter Brandt 2009-08-27 -----END PRIVACY-ENHANCED MESSAGE-----