organization · Reporting owner
CDK ASSOCIATES, L.L.C.
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Molecular Templates, Inc.MTEM · Entity 85987 | Director | November 21, 2019 | November 25, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Molecular Templates, Inc.
Report date November 21, 2019 · Filed November 25, 2019
Jointly reported with Morenstein Scott D, CAXTON CORP, Kovner Bruce
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,052,991 |
Reported balance
After 2019-11-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-11-21 · Purchase · Acquired 468,750 · Balance 2,052,991 F1: These shares are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (iii) Scott Morenstein, a Managing Director of the investment manager of CDK Associates, LLC. F2: Scott Morenstein serves as a director of the Issuer. Caxton Corporation, Bruce Kovner and CDK Associates, L.L.C. may be considered directors by deputization due to their affiliation with Scott Morenstein. Each Reporting Person disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (iii) Scott Morenstein, a Managing Director of the investment manager of CDK Associates, LLC.
F2: Scott Morenstein serves as a director of the Issuer. Caxton Corporation, Bruce Kovner and CDK Associates, L.L.C. may be considered directors by deputization due to their affiliation with Scott Morenstein. Each Reporting Person disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
KALA BIO, Inc.
Report date July 20, 2017 · Filed July 21, 2017 · Amendment
Jointly reported with CAXTON CORP, Kovner Bruce
Section 16 reporting ended · disclosed 2017-07-21. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 548,755 |
Reported balance
After 2017-07-20 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-07-20 · Conversion · Acquired 548,755 · Balance 548,755 F1: The Reporting Persons are amending the Form 4 originally filed to report the conversion of Series C Preferred Stock. F2: The Series C Preferred Stock was converted to Common Stock on a 5.2083 for one basis. F3: These shares represent (a) 544,220 shares of Common Stock that are owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 4,535 shares of Common Stock that are held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 763,755 |
Reported balance
After 2017-07-20 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2017-07-20 · Purchase · Acquired 215,000 · Balance 763,755 F4: The shares beneficially owned following the acquisition by CDK Associates, LLC of 215,000 shares of Common Stock represent (a) 759,220 shares of Common Stock that are owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 4,535 shares of Common Stock that are held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. F5: (Continued from Footnote 4) Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-07-20 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2017-07-20 · Conversion · Disposed 2,858,086 · Balance 0 F2: The Series C Preferred Stock was converted to Common Stock on a 5.2083 for one basis. F1: The Reporting Persons are amending the Form 4 originally filed to report the conversion of Series C Preferred Stock. F6: The Series C Preferred Stock was convertible to Common Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F7: These shares represent (a) 2,834,466 shares of Series C Convertible Preferred Stock that were owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 23,620 shares of Series C Convertible Preferred Stock that were held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. F8: (Continued from Footnote 7) Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons are amending the Form 4 originally filed to report the conversion of Series C Preferred Stock.
F2: The Series C Preferred Stock was converted to Common Stock on a 5.2083 for one basis.
F3: These shares represent (a) 544,220 shares of Common Stock that are owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 4,535 shares of Common Stock that are held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F4: The shares beneficially owned following the acquisition by CDK Associates, LLC of 215,000 shares of Common Stock represent (a) 759,220 shares of Common Stock that are owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 4,535 shares of Common Stock that are held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation.
F5: (Continued from Footnote 4) Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F6: The Series C Preferred Stock was convertible to Common Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F7: These shares represent (a) 2,834,466 shares of Series C Convertible Preferred Stock that were owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 23,620 shares of Series C Convertible Preferred Stock that were held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation.
F8: (Continued from Footnote 7) Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Strongbridge Biopharma plc
Report date October 05, 2021 · Filed January 05, 2022
Jointly reported with CAXTON CORP, Kovner Bruce
Section 16 reporting ended · disclosed 2022-01-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, $0.01 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-10-05 · Other · Disposed 8,060,682 · Balance 0 F1: These reported securities were disposed of pursuant to the Issuer's transaction with Xeris Pharmaceuticals, Inc., Xeris Biopharma Holdings, Inc. ("Holdco") and Wells MergerSub, Inc., a wholly owned subsidiary of Holdco, pursuant to a Transaction Agreement dated May 24, 2021 (the "Transaction Agreement) in which Holdco would acquire the Issuer (the "Acquisition") by means of a scheme of arrangement (the "Scheme") under Irish law for a per share consideration of 0.7840 newly issued shares of Holdco common stock, and cash in lieu of fractions thereof, plus one contingent value right worth up to an additional $1.00 payable in cash, Holdco common stock or a combination thereof at Holdco's sole election. Pursuant to the Transaction Agreement, the Issuer's outstanding warrants were treated as follows: (i) each outstanding and unexercised Strongbridge Private Placement Warrant was assumed by Holdco such that the applicable holders will have the right to subscribe for Holdco Shares, F2: (continued from Footnote 1) in accordance with certain terms of the Strongbridge Private Placement Warrant, (ii) each outstanding and unexercised Strongbridge Assumed Warrant was assumed by Holdco such that, upon exercise, the applicable holders will have the right to have delivered to them the Reference Property, in accordance with certain terms of the Strongbridge Assumed Warrants (each defined in the Transaction Agreement). Effective as of October 5, 2021, Holdco completed the Acquisition pursuant to the Scheme. The foregoing description of the Transaction Agreement is qualified in its entirety by reference to the Transaction Agreement, which is filed as Exhibit 2.1 to the Form 8-K filed by the Issuer on May 24, 2021, and is incorporated by reference herein. F3: These shares represent (a) 7,529,834 Ordinary Shares that were owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 530,848 Ordinary Shares that were beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. |
| Ordinary Shares Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.50 · Expires 2022-06-28 | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-10-05 · Other · Disposed 2,220,000 · Balance 0 F1: These reported securities were disposed of pursuant to the Issuer's transaction with Xeris Pharmaceuticals, Inc., Xeris Biopharma Holdings, Inc. ("Holdco") and Wells MergerSub, Inc., a wholly owned subsidiary of Holdco, pursuant to a Transaction Agreement dated May 24, 2021 (the "Transaction Agreement) in which Holdco would acquire the Issuer (the "Acquisition") by means of a scheme of arrangement (the "Scheme") under Irish law for a per share consideration of 0.7840 newly issued shares of Holdco common stock, and cash in lieu of fractions thereof, plus one contingent value right worth up to an additional $1.00 payable in cash, Holdco common stock or a combination thereof at Holdco's sole election. Pursuant to the Transaction Agreement, the Issuer's outstanding warrants were treated as follows: (i) each outstanding and unexercised Strongbridge Private Placement Warrant was assumed by Holdco such that the applicable holders will have the right to subscribe for Holdco Shares, F2: (continued from Footnote 1) in accordance with certain terms of the Strongbridge Private Placement Warrant, (ii) each outstanding and unexercised Strongbridge Assumed Warrant was assumed by Holdco such that, upon exercise, the applicable holders will have the right to have delivered to them the Reference Property, in accordance with certain terms of the Strongbridge Assumed Warrants (each defined in the Transaction Agreement). Effective as of October 5, 2021, Holdco completed the Acquisition pursuant to the Scheme. The foregoing description of the Transaction Agreement is qualified in its entirety by reference to the Transaction Agreement, which is filed as Exhibit 2.1 to the Form 8-K filed by the Issuer on May 24, 2021, and is incorporated by reference herein. F4: These securities represent (a) 2,100,000 Warrants that were owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 120,000 Warrants that were beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. |
Filing footnotes · ownership attribution and instrument terms
F1: These reported securities were disposed of pursuant to the Issuer's transaction with Xeris Pharmaceuticals, Inc., Xeris Biopharma Holdings, Inc. ("Holdco") and Wells MergerSub, Inc., a wholly owned subsidiary of Holdco, pursuant to a Transaction Agreement dated May 24, 2021 (the "Transaction Agreement) in which Holdco would acquire the Issuer (the "Acquisition") by means of a scheme of arrangement (the "Scheme") under Irish law for a per share consideration of 0.7840 newly issued shares of Holdco common stock, and cash in lieu of fractions thereof, plus one contingent value right worth up to an additional $1.00 payable in cash, Holdco common stock or a combination thereof at Holdco's sole election. Pursuant to the Transaction Agreement, the Issuer's outstanding warrants were treated as follows: (i) each outstanding and unexercised Strongbridge Private Placement Warrant was assumed by Holdco such that the applicable holders will have the right to subscribe for Holdco Shares,
F2: (continued from Footnote 1) in accordance with certain terms of the Strongbridge Private Placement Warrant, (ii) each outstanding and unexercised Strongbridge Assumed Warrant was assumed by Holdco such that, upon exercise, the applicable holders will have the right to have delivered to them the Reference Property, in accordance with certain terms of the Strongbridge Assumed Warrants (each defined in the Transaction Agreement). Effective as of October 5, 2021, Holdco completed the Acquisition pursuant to the Scheme. The foregoing description of the Transaction Agreement is qualified in its entirety by reference to the Transaction Agreement, which is filed as Exhibit 2.1 to the Form 8-K filed by the Issuer on May 24, 2021, and is incorporated by reference herein.
F3: These shares represent (a) 7,529,834 Ordinary Shares that were owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 530,848 Ordinary Shares that were beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation.
F4: These securities represent (a) 2,100,000 Warrants that were owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 120,000 Warrants that were beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 05, 2021 Filed Jan 5, 2022 12:43 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | OtherOrdinary Shares Warrant (right to buy) · Derivative | 2,220,000 | Not disclosed Strike: $2.50 | Not disclosed |
DisclosureSEC source: 0000919574-22-000043 · ownership.xml · derivative · entry 2 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares, $0.01 par value · 2,220,000 shares Expires 2022-06-28 F1 · kind: These reported securities were disposed of pursuant to the Issuer's transaction with Xeris Pharmaceuticals, Inc., Xeris Biopharma Holdings, Inc. ("Holdco") and Wells MergerSub, Inc., a wholly owned subsidiary of Holdco, pursuant to a Transaction Agreement dated May 24, 2021 (the "Transaction Agreement) in which Holdco would acquire the Issuer (the "Acquisition") by means of a scheme of arrangement (the "Scheme") under Irish law for a per share consideration of 0.7840 newly issued shares of Holdco common stock, and cash in lieu of fractions thereof, plus one contingent value right worth up to an additional $1.00 payable in cash, Holdco common stock or a combination thereof at Holdco's sole election. Pursuant to the Transaction Agreement, the Issuer's outstanding warrants were treated as follows: (i) each outstanding and unexercised Strongbridge Private Placement Warrant was assumed by Holdco such that the applicable holders will have the right to subscribe for Holdco Shares, F2 · kind: (continued from Footnote 1) in accordance with certain terms of the Strongbridge Private Placement Warrant, (ii) each outstanding and unexercised Strongbridge Assumed Warrant was assumed by Holdco such that, upon exercise, the applicable holders will have the right to have delivered to them the Reference Property, in accordance with certain terms of the Strongbridge Assumed Warrants (each defined in the Transaction Agreement). Effective as of October 5, 2021, Holdco completed the Acquisition pursuant to the Scheme. The foregoing description of the Transaction Agreement is qualified in its entirety by reference to the Transaction Agreement, which is filed as Exhibit 2.1 to the Form 8-K filed by the Issuer on May 24, 2021, and is incorporated by reference herein. F1 · price: These reported securities were disposed of pursuant to the Issuer's transaction with Xeris Pharmaceuticals, Inc., Xeris Biopharma Holdings, Inc. ("Holdco") and Wells MergerSub, Inc., a wholly owned subsidiary of Holdco, pursuant to a Transaction Agreement dated May 24, 2021 (the "Transaction Agreement) in which Holdco would acquire the Issuer (the "Acquisition") by means of a scheme of arrangement (the "Scheme") under Irish law for a per share consideration of 0.7840 newly issued shares of Holdco common stock, and cash in lieu of fractions thereof, plus one contingent value right worth up to an additional $1.00 payable in cash, Holdco common stock or a combination thereof at Holdco's sole election. Pursuant to the Transaction Agreement, the Issuer's outstanding warrants were treated as follows: (i) each outstanding and unexercised Strongbridge Private Placement Warrant was assumed by Holdco such that the applicable holders will have the right to subscribe for Holdco Shares, F2 · price: (continued from Footnote 1) in accordance with certain terms of the Strongbridge Private Placement Warrant, (ii) each outstanding and unexercised Strongbridge Assumed Warrant was assumed by Holdco such that, upon exercise, the applicable holders will have the right to have delivered to them the Reference Property, in accordance with certain terms of the Strongbridge Assumed Warrants (each defined in the Transaction Agreement). Effective as of October 5, 2021, Holdco completed the Acquisition pursuant to the Scheme. The foregoing description of the Transaction Agreement is qualified in its entirety by reference to the Transaction Agreement, which is filed as Exhibit 2.1 to the Form 8-K filed by the Issuer on May 24, 2021, and is incorporated by reference herein. F4 · ownership.direct: These securities represent (a) 2,100,000 Warrants that were owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 120,000 Warrants that were beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Read SEC document |
| October 05, 2021 Filed Jan 5, 2022 12:43 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | OtherOrdinary Shares, $0.01 par value | 8,060,682 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-22-000043 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: These reported securities were disposed of pursuant to the Issuer's transaction with Xeris Pharmaceuticals, Inc., Xeris Biopharma Holdings, Inc. ("Holdco") and Wells MergerSub, Inc., a wholly owned subsidiary of Holdco, pursuant to a Transaction Agreement dated May 24, 2021 (the "Transaction Agreement) in which Holdco would acquire the Issuer (the "Acquisition") by means of a scheme of arrangement (the "Scheme") under Irish law for a per share consideration of 0.7840 newly issued shares of Holdco common stock, and cash in lieu of fractions thereof, plus one contingent value right worth up to an additional $1.00 payable in cash, Holdco common stock or a combination thereof at Holdco's sole election. Pursuant to the Transaction Agreement, the Issuer's outstanding warrants were treated as follows: (i) each outstanding and unexercised Strongbridge Private Placement Warrant was assumed by Holdco such that the applicable holders will have the right to subscribe for Holdco Shares, F2 · kind: (continued from Footnote 1) in accordance with certain terms of the Strongbridge Private Placement Warrant, (ii) each outstanding and unexercised Strongbridge Assumed Warrant was assumed by Holdco such that, upon exercise, the applicable holders will have the right to have delivered to them the Reference Property, in accordance with certain terms of the Strongbridge Assumed Warrants (each defined in the Transaction Agreement). Effective as of October 5, 2021, Holdco completed the Acquisition pursuant to the Scheme. The foregoing description of the Transaction Agreement is qualified in its entirety by reference to the Transaction Agreement, which is filed as Exhibit 2.1 to the Form 8-K filed by the Issuer on May 24, 2021, and is incorporated by reference herein. F1 · price: These reported securities were disposed of pursuant to the Issuer's transaction with Xeris Pharmaceuticals, Inc., Xeris Biopharma Holdings, Inc. ("Holdco") and Wells MergerSub, Inc., a wholly owned subsidiary of Holdco, pursuant to a Transaction Agreement dated May 24, 2021 (the "Transaction Agreement) in which Holdco would acquire the Issuer (the "Acquisition") by means of a scheme of arrangement (the "Scheme") under Irish law for a per share consideration of 0.7840 newly issued shares of Holdco common stock, and cash in lieu of fractions thereof, plus one contingent value right worth up to an additional $1.00 payable in cash, Holdco common stock or a combination thereof at Holdco's sole election. Pursuant to the Transaction Agreement, the Issuer's outstanding warrants were treated as follows: (i) each outstanding and unexercised Strongbridge Private Placement Warrant was assumed by Holdco such that the applicable holders will have the right to subscribe for Holdco Shares, F2 · price: (continued from Footnote 1) in accordance with certain terms of the Strongbridge Private Placement Warrant, (ii) each outstanding and unexercised Strongbridge Assumed Warrant was assumed by Holdco such that, upon exercise, the applicable holders will have the right to have delivered to them the Reference Property, in accordance with certain terms of the Strongbridge Assumed Warrants (each defined in the Transaction Agreement). Effective as of October 5, 2021, Holdco completed the Acquisition pursuant to the Scheme. The foregoing description of the Transaction Agreement is qualified in its entirety by reference to the Transaction Agreement, which is filed as Exhibit 2.1 to the Form 8-K filed by the Issuer on May 24, 2021, and is incorporated by reference herein. F3 · ownership.direct: These shares represent (a) 7,529,834 Ordinary Shares that were owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 530,848 Ordinary Shares that were beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to have been indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Read SEC document |
| September 18, 2020 Filed Sep 21, 2020 21:48 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 6,000 | $2.20 | $13,200.00 |
DisclosureSEC source: 0000919574-20-005947 · ownership.xml · nonDerivative · entry 2 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,060,682 F1 · ownership.direct: Following the transactions reported herein, these shares represent (a) 7,529,834 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 530,848 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Read SEC document |
| September 17, 2020 Filed Sep 21, 2020 21:48 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 1,473,377 | $2.25 | $3,315,098.25 |
DisclosureSEC source: 0000919574-20-005947 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,054,682 F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.24 to $2.25 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.direct: Following the transactions reported herein, these shares represent (a) 7,529,834 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 530,848 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Read SEC document |
| November 21, 2019 Filed Nov 25, 2019 16:24 UTC | Molecular Templates, Inc. MTEM · Entity 85987 | PurchaseCommon Stock | 468,750 | $8.00 | $3,750,000.00 |
DisclosureSEC source: 0000919574-19-007463 · ownership.xml · nonDerivative · entry 1 Morenstein Scott D · CIK 0001576113 · Director CDK ASSOCIATES, L.L.C. · CIK 0001576081 · Director CAXTON CORP · CIK 0001388551 · Director Kovner Bruce · CIK 0001325713 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,052,991 F1 · ownership.nature: These shares are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (iii) Scott Morenstein, a Managing Director of the investment manager of CDK Associates, LLC. F2 · ownership.nature: Scott Morenstein serves as a director of the Issuer. Caxton Corporation, Bruce Kovner and CDK Associates, L.L.C. may be considered directors by deputization due to their affiliation with Scott Morenstein. Each Reporting Person disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 27, 2018 Filed Dec 28, 2018 17:39 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 18,200 | $3.98 | $72,434.18 |
DisclosureSEC source: 0000919574-18-008212 · ownership.xml · nonDerivative · entry 2 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,581,305 F1 · ownership.direct: Following the transactions reported herein, these shares represent (a) 6,244,501 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 336,804 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 17:30 UTC | Molecular Templates, Inc. MTEM · Entity 85987 | PurchaseCommon Stock | 25,000 | $3.45 | $86,250.00 |
DisclosureSEC source: 0000919574-18-008210 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · Director Morenstein Scott D · CIK 0001576113 · Director CAXTON CORP · CIK 0001388551 · Director Kovner Bruce · CIK 0001325713 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,584,241 F1 · ownership.direct: These shares are held by CDK Associates, L.L.C. and may be deemed to be beneficially owned by (i) Scott Morenstein, a Managing Director of Caxton Alternative Management LP, the investment manager of CDK Associates, L.L.C., (ii) Caxton Corporation, the manager of CDK Associates, LLC and (iii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Scott Morenstein serves as a director of the Issuer. Caxton Corporation, Bruce Kovner and CDK Associates, L.L.C. may be considered directors by deputization due to their affiliation with Scott Morenstein. Each Reporting Person disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 17:39 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 31,197 | $4.00 | $124,697.53 |
DisclosureSEC source: 0000919574-18-008212 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,563,105 F1 · ownership.direct: Following the transactions reported herein, these shares represent (a) 6,244,501 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 336,804 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Read SEC document |
| December 21, 2018 Filed Dec 21, 2018 18:16 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 90,612 | $3.95 | $357,989.89 |
DisclosureSEC source: 0000919574-18-008127 · ownership.xml · nonDerivative · entry 2 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,531,908 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.82 to $4.10 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Following the transactions reported herein, these shares represent (a) 6,196,882 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 335,026 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 18:16 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 146,467 | $4.00 | $585,384.66 |
DisclosureSEC source: 0000919574-18-008127 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,441,296 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.85 to $4.22 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price. F2 · ownership.direct: Following the transactions reported herein, these shares represent (a) 6,196,882 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 335,026 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 15:11 UTC | Molecular Templates, Inc. MTEM · Entity 85987 | PurchaseCommon Stock | 545,454 | $5.50 | $2,999,997.00 |
DisclosureSEC source: 0000899243-18-025415 · doc4.xml · nonDerivative · entry 1 Morenstein Scott D · CIK 0001576113 · Director CDK ASSOCIATES, L.L.C. · CIK 0001576081 · Director CAXTON CORP · CIK 0001388551 · Director Kovner Bruce · CIK 0001325713 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By CDK Associates, L.L.C. Disclosed balance after: 1,559,241 F1 · ownership.direct: These shares are held by CDK Associates, L.L.C. and may be deemed to be beneficially owned by (i) Scott Morenstein, a Managing Director of Caxton Alternative Management LP, the investment manager of CDK Associates, L.L.C., (ii) Caxton Corporation, the manager of CDK Associates, LLC and (iii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Scott Morenstein serves as a director of the Issuer. Caxton Corporation, Bruce Kovner and CDK Associates, L.L.C. may be considered directors by deputization due to their affiliation with Scott Morenstein. Each Reporting Person disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. F1 · ownership.nature: These shares are held by CDK Associates, L.L.C. and may be deemed to be beneficially owned by (i) Scott Morenstein, a Managing Director of Caxton Alternative Management LP, the investment manager of CDK Associates, L.L.C., (ii) Caxton Corporation, the manager of CDK Associates, LLC and (iii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Scott Morenstein serves as a director of the Issuer. Caxton Corporation, Bruce Kovner and CDK Associates, L.L.C. may be considered directors by deputization due to their affiliation with Scott Morenstein. Each Reporting Person disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| August 08, 2018 Filed Aug 9, 2018 12:28 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 360,995 | $4.93 | $1,778,514.07 |
DisclosureSEC source: 0000919574-18-005198 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,294,829 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.878 to $5.00 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price. F2 · ownership.direct: These shares represent (a) 5,968,147 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 326,682 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and entities affiliated with such employees and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 30, 2018 Filed Aug 1, 2018 16:56 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 70,000 | $4.66 | $326,466.00 |
DisclosureSEC source: 0000919574-18-005044 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,933,834 F1 · ownership.direct: These shares represent (a) 5,619,678 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 314,156 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and entities affiliated with such employees and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 27, 2018 Filed Jul 27, 2018 18:15 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 92,400 | $4.85 | $448,140.00 |
DisclosureSEC source: 0000919574-18-004961 · ownership.xml · nonDerivative · entry 4 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,863,384 F1 · ownership.direct: These shares represent (a) 5,549,678 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 314,156 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and entities affiliated with such employees and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 27, 2018 Filed Jul 27, 2018 18:15 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 116,900 | $4.63 | $541,048.27 |
DisclosureSEC source: 0000919574-18-004961 · ownership.xml · nonDerivative · entry 3 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,771,434 F1 · ownership.direct: These shares represent (a) 5,549,678 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 314,156 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and entities affiliated with such employees and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 26, 2018 Filed Jul 27, 2018 18:15 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 39,800 | $4.94 | $196,727.42 |
DisclosureSEC source: 0000919574-18-004961 · ownership.xml · nonDerivative · entry 2 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,654,534 F1 · ownership.direct: These shares represent (a) 5,549,678 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 314,156 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and entities affiliated with such employees and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 24, 2018 Filed Jul 27, 2018 18:15 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 150,000 | $4.92 | $737,265.00 |
DisclosureSEC source: 0000919574-18-004961 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,614,734 F1 · ownership.direct: These shares represent (a) 5,549,678 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 314,156 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and entities affiliated with such employees and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:33 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 20,400 | $4.95 | $100,980.00 |
DisclosureSEC source: 0000919574-18-004871 · ownership.xml · nonDerivative · entry 3 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,464,734 F1 · ownership.direct: These shares represent (a) 5,169,133 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 295,601 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 20, 2018 Filed Jul 23, 2018 17:33 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 21,100 | $4.97 | $104,795.26 |
DisclosureSEC source: 0000919574-18-004871 · ownership.xml · nonDerivative · entry 2 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,444,334 F1 · ownership.direct: These shares represent (a) 5,169,133 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 295,601 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 19, 2018 Filed Jul 23, 2018 17:33 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 14,000 | $4.98 | $69,746.60 |
DisclosureSEC source: 0000919574-18-004871 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,423,234 F1 · ownership.direct: These shares represent (a) 5,169,133 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 295,601 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 13:55 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | PurchaseOrdinary Shares, $0.01 par value | 11,200 | $4.97 | $55,629.28 |
DisclosureSEC source: 0000919574-18-004815 · ownership.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,409,234 F1 · ownership.direct: These shares represent (a) 5,113,633 Ordinary Shares that are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 295,601 Ordinary Shares beneficially owned by employees of an affiliate of Caxton Corporation and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 3 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 20, 2017 Filed Jul 20, 2017 22:07 UTC | KALA BIO, Inc. KALA · Entity 7964 | PurchaseCommon Stock | 215,000 | $15.00 | $3,225,000.00 |
DisclosureSEC source: 0000919574-17-005533 · p7572818.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,000 F1 · ownership.direct: These shares are owned directly by CDK Associates, LLC, which is a reporting person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 20, 2017 Filed Jul 21, 2017 21:54 UTC Amendment | KALA BIO, Inc. KALA · Entity 7964 | ConversionSeries C Convertible Preferred Stock · Derivative | 2,858,086 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-17-005551 · p7573916.xml · derivative · entry 3 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 548,755 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series C Preferred Stock was converted to Common Stock on a 5.2083 for one basis. F1 · kind: The Reporting Persons are amending the Form 4 originally filed to report the conversion of Series C Preferred Stock. F6 · derivative.exercise_date: The Series C Preferred Stock was convertible to Common Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F6 · derivative.expiration_date: The Series C Preferred Stock was convertible to Common Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares represent (a) 2,834,466 shares of Series C Convertible Preferred Stock that were owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 23,620 shares of Series C Convertible Preferred Stock that were held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. F8 · ownership.direct: (Continued from Footnote 7) Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 20, 2017 Filed Jul 21, 2017 21:54 UTC Amendment | KALA BIO, Inc. KALA · Entity 7964 | PurchaseCommon Stock | 215,000 | $15.00 | $3,225,000.00 |
DisclosureSEC source: 0000919574-17-005551 · p7573916.xml · nonDerivative · entry 2 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 763,755 F4 · ownership.direct: The shares beneficially owned following the acquisition by CDK Associates, LLC of 215,000 shares of Common Stock represent (a) 759,220 shares of Common Stock that are owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 4,535 shares of Common Stock that are held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. F5 · ownership.direct: (Continued from Footnote 4) Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 20, 2017 Filed Jul 21, 2017 21:54 UTC Amendment | KALA BIO, Inc. KALA · Entity 7964 | ConversionCommon Stock | 548,755 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-17-005551 · p7573916.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 548,755 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The Reporting Persons are amending the Form 4 originally filed to report the conversion of Series C Preferred Stock. F2 · price: The Series C Preferred Stock was converted to Common Stock on a 5.2083 for one basis. F3 · ownership.direct: These shares represent (a) 544,220 shares of Common Stock that are owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 4,535 shares of Common Stock that are held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 20, 2017 Filed Jul 21, 2017 19:58 UTC Amendment | KALA BIO, Inc. KALA · Entity 7964 | ConversionSeries C Convertible Preferred Stock · Derivative | 2,858,086 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-17-005547 · p7573916.xml · derivative · entry 3 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 548,755 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series C Preferred Stock was converted to Common Stock on a 5.2083 for one basis. F1 · kind: The Reporting Persons are amending the Form 4 originally filed to report the conversion of Series C Preferred Stock. F6 · derivative.exercise_date: The Series C Preferred Stock was convertible to Common Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F6 · derivative.expiration_date: The Series C Preferred Stock was convertible to Common Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares represent (a) 2,834,466 shares of Series C Convertible Preferred Stock that were owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 23,620 shares of Series C Convertible Preferred Stock that were held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. F8 · ownership.direct: (Continued from Footnote 7) Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 20, 2017 Filed Jul 21, 2017 19:58 UTC Amendment | KALA BIO, Inc. KALA · Entity 7964 | PurchaseCommon Stock | 215,000 | $15.00 | $3,225,000.00 |
DisclosureSEC source: 0000919574-17-005547 · p7573916.xml · nonDerivative · entry 2 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 763,755 F4 · ownership.direct: The shares beneficially owned following the acquisition by CDK Associates, LLC of 215,000 shares of Common Stock represent (a) 759,220 shares of Common Stock that are owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 4,535 shares of Common Stock that are held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. F5 · ownership.direct: (Continued from Footnote 4) Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 20, 2017 Filed Jul 21, 2017 19:58 UTC Amendment | KALA BIO, Inc. KALA · Entity 7964 | ConversionCommon Stock | 548,755 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-17-005547 · p7573916.xml · nonDerivative · entry 1 CDK ASSOCIATES, L.L.C. · CIK 0001576081 · 10% owner CAXTON CORP · CIK 0001388551 · 10% owner Kovner Bruce · CIK 0001325713 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 548,755 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The Reporting Persons are amending the Form 4 originally filed to report the conversion of Series C Preferred Stock. F2 · price: The Series C Preferred Stock was converted to Common Stock on a 5.2083 for one basis. F3 · ownership.direct: These shares represent (a) 544,220 shares of Common Stock that are owned directly by CDK Associates, LLC, which is a Reporting Person, and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation, the manager of CDK Associates, LLC, and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation; and (b) 4,535 shares of Common Stock that are held in an account of an employee of Caxton Corporation or an affiliate and may be deemed to be indirectly beneficially owned by (i) Caxton Corporation and (ii) Bruce Kovner, the chairman and sole shareholder of Caxton Corporation. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.