organization · Reporting owner
STONEPINE CAPITAL, L.P.
Disclosed activity across 4 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NOVELION THERAPEUTICS INC.NVLNF · Entity 152369 | 10% owner | December 10, 2019 | December 12, 2019 |
| VIVEVE MEDICAL, INC.VIVE · Entity 11899 | Director · 10% owner | March 17, 2017 | March 21, 2017 |
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.
NOVELION THERAPEUTICS INC.
Report date December 10, 2019 · Filed December 12, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,909,207 |
Ending reported balance
After 2019-12-12 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2019-12-10 · Purchase · Acquired 5,202 · Balance 3,908,167 Row 2 · 2019-12-11 · Purchase · Acquired 40 · Balance 3,908,207 Row 3 · 2019-12-12 · Purchase · Acquired 1,000 · Balance 3,909,207 |
VIVEVE MEDICAL, INC.
Report date March 17, 2017 · Filed March 21, 2017
Jointly reported with Stonepine Capital Management, LLC, Plexico Jon M, LYNCH TIMOTHY P
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 3,849,711 |
Reported balance
After 2017-03-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-03-17 · Purchase · Acquired 1,250,000 · Balance 3,849,711 F1: The filers (the "Filers") are Stonepine Capital Management, LLC (the "General Partner"), Stonepine Capital, L.P., Jon M. Plexico and Timothy P. Lynch. These securities are directly held by Stonepine Capital, L.P. (2,599,711 shares) and other limited partnerships (collectively, the "Funds") for the benefit of their investors. The General Partner is the general partner and investment adviser of the Funds. Mr. Plexico and Mr. Lynch are the General Partner's managers and may be deemed to have shared voting and investment power over the shares held by the Funds. F2: Each of the Filers disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each of the General Partner, Mr. Plexico and Mr. Lynch disclaims beneficial ownership of these securities except to the extent of that person's beneficial ownership therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The filers (the "Filers") are Stonepine Capital Management, LLC (the "General Partner"), Stonepine Capital, L.P., Jon M. Plexico and Timothy P. Lynch. These securities are directly held by Stonepine Capital, L.P. (2,599,711 shares) and other limited partnerships (collectively, the "Funds") for the benefit of their investors. The General Partner is the general partner and investment adviser of the Funds. Mr. Plexico and Mr. Lynch are the General Partner's managers and may be deemed to have shared voting and investment power over the shares held by the Funds.
F2: Each of the Filers disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each of the General Partner, Mr. Plexico and Mr. Lynch disclaims beneficial ownership of these securities except to the extent of that person's beneficial ownership therein.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Apollo Endosurgery, Inc.
Report date August 12, 2019 · Filed August 14, 2019
Section 16 reporting ended · disclosed 2019-08-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,580,518 |
Reported balance
After 2019-08-12 transaction · row 1
1 source rowRow 1 · 2019-08-12 · Other · Disposed 1,000,000 · Balance 1,580,518 F1: On August 12, 2019, the Reporting Person entered into a private transaction with the Issuer pursuant to which the Reporting Person exchanged 1,000,000 shares of the issuer's Common stock, par value $0.001 per share (the "Stock"), for a pre-funded warrant (the "Warrant") to purchase 1,000,000 shares of the Stock and purchased from the Issuer a 6.0% Convertible Debenture due 2024 (the "Note"). |
| WarrantSEC Table II · derivative / convertible security | Direct | 1 |
Reported balance
After 2019-08-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-08-12 · Other · Acquired 1 · Balance 1 F2: The exercise price of the Warrant, except for a nominal exercise price of $0.001 per share of Stock, was pre-funded on or prior to the initial exercise date by the exchange described in footnote 1. F1: On August 12, 2019, the Reporting Person entered into a private transaction with the Issuer pursuant to which the Reporting Person exchanged 1,000,000 shares of the issuer's Common stock, par value $0.001 per share (the "Stock"), for a pre-funded warrant (the "Warrant") to purchase 1,000,000 shares of the Stock and purchased from the Issuer a 6.0% Convertible Debenture due 2024 (the "Note"). F3: The Warrant terminates if the Issuer enters into certain fundamental transactions. F4: Notwithstanding the number of shares reported in column 7, the Warrant may not be exercised to the extent it would cause the Reporting Person and its affiliates to beneficially own more than 9.99% of the Stock. |
| 6.0% Convertible Debenture due 2024SEC Table II · derivative / convertible security · Conversion / exercise price $3.25 · Expires 2024-08-12 | Direct | Not disclosed |
Reported balance
After 2019-08-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-08-12 · Purchase · Acquired Not disclosed · Balance Not disclosed F5: Notwithstanding the number of shares reported in column 7, the Note may not be converted to the extent it would cause the Reporting Person and its affiliates to beneficially own more than 9.99% of the Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 12, 2019, the Reporting Person entered into a private transaction with the Issuer pursuant to which the Reporting Person exchanged 1,000,000 shares of the issuer's Common stock, par value $0.001 per share (the "Stock"), for a pre-funded warrant (the "Warrant") to purchase 1,000,000 shares of the Stock and purchased from the Issuer a 6.0% Convertible Debenture due 2024 (the "Note").
F2: The exercise price of the Warrant, except for a nominal exercise price of $0.001 per share of Stock, was pre-funded on or prior to the initial exercise date by the exchange described in footnote 1.
F3: The Warrant terminates if the Issuer enters into certain fundamental transactions.
F4: Notwithstanding the number of shares reported in column 7, the Warrant may not be exercised to the extent it would cause the Reporting Person and its affiliates to beneficially own more than 9.99% of the Stock.
F5: Notwithstanding the number of shares reported in column 7, the Note may not be converted to the extent it would cause the Reporting Person and its affiliates to beneficially own more than 9.99% of the Stock.
CHIASMA, INC
Report date August 05, 2021 · Filed August 09, 2021
Section 16 reporting ended · disclosed 2021-08-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-08-05 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-08-05 · Disposition to issuer · Disposed 6,770,000 · Balance 0 F1: The filers are Stonepine Capital Management, LLC ("Stonepine"), Stonepine Capital, L.P. (the Partnership"), Jon M. Plexico and Timothy P. Lynch. Stonepine is the general partner and investment adviser of the Partnership. Mr. Plexico and Mr. Lynch are Stonepine's managers and control persons. These securities are held directly by the Partnership for the benefit of its investors and are indirectly beneficially owned by Stonepine, as the general partner and investment adviser of the Partnership, and by Mr. Plexico and Mr. Lynch, as Stonepine's control persons. Stonepine is filing this Form 4 for itself and the other filers. The filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each filer disclaims beneficial ownership of these securities except to the extent of that filer's pecuniary interest therein. F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of May 4, 2021, by and among Chiasma, Inc. (the "Company), Amryt Pharma plc ("Parent"), and Acorn Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub") pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving as an indirect wholly owned subsidiary of Parent effective as of August 5, 2021 (the "Effective Time"). At the Effective Time, each share of common stock of the Company (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.396 American Depositary Shares of Parent representing five ordinary shares of Parent. |
Filing footnotes · ownership attribution and instrument terms
F1: The filers are Stonepine Capital Management, LLC ("Stonepine"), Stonepine Capital, L.P. (the Partnership"), Jon M. Plexico and Timothy P. Lynch. Stonepine is the general partner and investment adviser of the Partnership. Mr. Plexico and Mr. Lynch are Stonepine's managers and control persons. These securities are held directly by the Partnership for the benefit of its investors and are indirectly beneficially owned by Stonepine, as the general partner and investment adviser of the Partnership, and by Mr. Plexico and Mr. Lynch, as Stonepine's control persons. Stonepine is filing this Form 4 for itself and the other filers. The filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each filer disclaims beneficial ownership of these securities except to the extent of that filer's pecuniary interest therein.
F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of May 4, 2021, by and among Chiasma, Inc. (the "Company), Amryt Pharma plc ("Parent"), and Acorn Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub") pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving as an indirect wholly owned subsidiary of Parent effective as of August 5, 2021 (the "Effective Time"). At the Effective Time, each share of common stock of the Company (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.396 American Depositary Shares of Parent representing five ordinary shares of Parent.
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 |
|---|---|---|---|---|---|---|
| August 05, 2021 Filed Aug 9, 2021 17:01 UTC | CHIASMA, INC CHMA · Entity 136487 | Disposition to issuerCommon Stock | 6,770,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-014770 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · security: The filers are Stonepine Capital Management, LLC ("Stonepine"), Stonepine Capital, L.P. (the Partnership"), Jon M. Plexico and Timothy P. Lynch. Stonepine is the general partner and investment adviser of the Partnership. Mr. Plexico and Mr. Lynch are Stonepine's managers and control persons. These securities are held directly by the Partnership for the benefit of its investors and are indirectly beneficially owned by Stonepine, as the general partner and investment adviser of the Partnership, and by Mr. Plexico and Mr. Lynch, as Stonepine's control persons. Stonepine is filing this Form 4 for itself and the other filers. The filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each filer disclaims beneficial ownership of these securities except to the extent of that filer's pecuniary interest therein. F2 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of May 4, 2021, by and among Chiasma, Inc. (the "Company), Amryt Pharma plc ("Parent"), and Acorn Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub") pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving as an indirect wholly owned subsidiary of Parent effective as of August 5, 2021 (the "Effective Time"). At the Effective Time, each share of common stock of the Company (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.396 American Depositary Shares of Parent representing five ordinary shares of Parent. F2 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of May 4, 2021, by and among Chiasma, Inc. (the "Company), Amryt Pharma plc ("Parent"), and Acorn Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub") pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving as an indirect wholly owned subsidiary of Parent effective as of August 5, 2021 (the "Effective Time"). At the Effective Time, each share of common stock of the Company (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.396 American Depositary Shares of Parent representing five ordinary shares of Parent. F1 · ownership.nature: The filers are Stonepine Capital Management, LLC ("Stonepine"), Stonepine Capital, L.P. (the Partnership"), Jon M. Plexico and Timothy P. Lynch. Stonepine is the general partner and investment adviser of the Partnership. Mr. Plexico and Mr. Lynch are Stonepine's managers and control persons. These securities are held directly by the Partnership for the benefit of its investors and are indirectly beneficially owned by Stonepine, as the general partner and investment adviser of the Partnership, and by Mr. Plexico and Mr. Lynch, as Stonepine's control persons. Stonepine is filing this Form 4 for itself and the other filers. The filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each filer disclaims beneficial ownership of these securities except to the extent of that filer's pecuniary interest therein. Read SEC document |
| December 12, 2019 Filed Dec 12, 2019 16:25 UTC | NOVELION THERAPEUTICS INC. NVLNF · Entity 152369 | PurchaseCommon Stock | 1,000 | $0.70 | $700.00 |
DisclosureSEC source: 0001567619-19-022982 · doc1.xml · nonDerivative · entry 3 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,909,207 Read SEC document |
| December 11, 2019 Filed Dec 12, 2019 16:25 UTC | NOVELION THERAPEUTICS INC. NVLNF · Entity 152369 | PurchaseCommon Stock | 40 | $0.69 | $27.60 |
DisclosureSEC source: 0001567619-19-022982 · doc1.xml · nonDerivative · entry 2 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,908,207 Read SEC document |
| December 10, 2019 Filed Dec 12, 2019 16:25 UTC | NOVELION THERAPEUTICS INC. NVLNF · Entity 152369 | PurchaseCommon Stock | 5,202 | $0.69 | $3,597.70 |
DisclosureSEC source: 0001567619-19-022982 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,908,167 Read SEC document |
| December 09, 2019 Filed Dec 9, 2019 16:51 UTC | NOVELION THERAPEUTICS INC. NVLNF · Entity 152369 | PurchaseCommon Stock | 4,500 | $0.70 | $3,150.00 |
DisclosureSEC source: 0001567619-19-022780 · doc1.xml · nonDerivative · entry 3 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,902,965 Read SEC document |
| December 06, 2019 Filed Dec 9, 2019 16:51 UTC | NOVELION THERAPEUTICS INC. NVLNF · Entity 152369 | PurchaseCommon Stock | 40 | $0.70 | $28.00 |
DisclosureSEC source: 0001567619-19-022780 · doc1.xml · nonDerivative · entry 2 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,898,465 Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 16:51 UTC | NOVELION THERAPEUTICS INC. NVLNF · Entity 152369 | PurchaseCommon Stock | 5,160 | $0.70 | $3,612.00 |
DisclosureSEC source: 0001567619-19-022780 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,898,425 Read SEC document |
| November 22, 2019 Filed Nov 26, 2019 17:24 UTC | NOVELION THERAPEUTICS INC. NVLNF · Entity 152369 | PurchaseCommon Stock | 89,845 | $0.75 | $67,033.35 |
DisclosureSEC source: 0001567619-19-022304 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,893,265 Read SEC document |
| October 11, 2019 Filed Oct 16, 2019 17:33 UTC | NOVELION THERAPEUTICS INC. NVLNF · Entity 152369 | PurchaseCommon Stock | 100,000 | $0.65 | $64,900.00 |
DisclosureSEC source: 0001567619-19-019667 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,803,420 Read SEC document |
| August 12, 2019 Filed Aug 14, 2019 18:16 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Purchase6.0% Convertible Debenture due 2024 · Derivative | Not disclosed | $2,775,000.00 Strike: $3.25 | $2,775,000.00 |
DisclosureSEC source: 0001567619-19-017052 · doc1.xml · derivative · entry 3 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 853,847 shares Expires 2024-08-12 F5 · derivative.underlying_shares: Notwithstanding the number of shares reported in column 7, the Note may not be converted to the extent it would cause the Reporting Person and its affiliates to beneficially own more than 9.99% of the Stock. Read SEC document |
| August 12, 2019 Filed Aug 14, 2019 18:16 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | OtherWarrant · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-017052 · doc1.xml · derivative · entry 2 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Underlying: Common Stock · 1,000,000 shares Expires not disclosed F2 · derivative.exercise_price: The exercise price of the Warrant, except for a nominal exercise price of $0.001 per share of Stock, was pre-funded on or prior to the initial exercise date by the exchange described in footnote 1. F1 · kind: On August 12, 2019, the Reporting Person entered into a private transaction with the Issuer pursuant to which the Reporting Person exchanged 1,000,000 shares of the issuer's Common stock, par value $0.001 per share (the "Stock"), for a pre-funded warrant (the "Warrant") to purchase 1,000,000 shares of the Stock and purchased from the Issuer a 6.0% Convertible Debenture due 2024 (the "Note"). F1 · price: On August 12, 2019, the Reporting Person entered into a private transaction with the Issuer pursuant to which the Reporting Person exchanged 1,000,000 shares of the issuer's Common stock, par value $0.001 per share (the "Stock"), for a pre-funded warrant (the "Warrant") to purchase 1,000,000 shares of the Stock and purchased from the Issuer a 6.0% Convertible Debenture due 2024 (the "Note"). F3 · derivative.expiration_date: The Warrant terminates if the Issuer enters into certain fundamental transactions. F4 · derivative.underlying_shares: Notwithstanding the number of shares reported in column 7, the Warrant may not be exercised to the extent it would cause the Reporting Person and its affiliates to beneficially own more than 9.99% of the Stock. Read SEC document |
| August 12, 2019 Filed Aug 14, 2019 18:16 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | OtherCommon Stock | 1,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-017052 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,580,518 F1 · kind: On August 12, 2019, the Reporting Person entered into a private transaction with the Issuer pursuant to which the Reporting Person exchanged 1,000,000 shares of the issuer's Common stock, par value $0.001 per share (the "Stock"), for a pre-funded warrant (the "Warrant") to purchase 1,000,000 shares of the Stock and purchased from the Issuer a 6.0% Convertible Debenture due 2024 (the "Note"). F1 · price: On August 12, 2019, the Reporting Person entered into a private transaction with the Issuer pursuant to which the Reporting Person exchanged 1,000,000 shares of the issuer's Common stock, par value $0.001 per share (the "Stock"), for a pre-funded warrant (the "Warrant") to purchase 1,000,000 shares of the Stock and purchased from the Issuer a 6.0% Convertible Debenture due 2024 (the "Note"). Read SEC document |
| December 27, 2018 Filed Dec 31, 2018 19:44 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 250,000 | $3.00 | $750,000.00 |
DisclosureSEC source: 0001567619-18-008828 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,185,426 Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 20:55 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 500,000 | $3.00 | $1,500,000.00 |
DisclosureSEC source: 0001567619-18-008814 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,435,426 Read SEC document |
| November 21, 2018 Filed Nov 21, 2018 17:32 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 3,230 | $3.61 | $11,644.15 |
DisclosureSEC source: 0001567619-18-006849 · doc1.xml · nonDerivative · entry 2 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,935,426 Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 17:32 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 54,200 | $3.40 | $184,280.00 |
DisclosureSEC source: 0001567619-18-006849 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,932,196 Read SEC document |
| November 02, 2018 Filed Nov 6, 2018 16:22 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 300,000 | $5.00 | $1,500,000.00 |
DisclosureSEC source: 0001567619-18-005171 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,877,996 Read SEC document |
| January 03, 2018 Filed Jan 3, 2018 17:33 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 6,339 | $5.78 | $36,655.90 |
DisclosureSEC source: 0001140361-18-000522 · doc1.xml · nonDerivative · entry 3 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,577,996 Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 17:33 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 11,343 | $5.73 | $64,960.23 |
DisclosureSEC source: 0001140361-18-000522 · doc1.xml · nonDerivative · entry 2 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,571,657 Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 17:33 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 5,163 | $5.56 | $28,717.12 |
DisclosureSEC source: 0001140361-18-000522 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,560,314 Read SEC document |
| December 26, 2017 Filed Dec 28, 2017 17:03 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 5,287 | $5.00 | $26,435.00 |
DisclosureSEC source: 0001140361-17-047619 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,555,151 Read SEC document |
| December 22, 2017 Filed Dec 22, 2017 17:26 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 41,399 | $5.00 | $206,862.52 |
DisclosureSEC source: 0001140361-17-047231 · doc1.xml · nonDerivative · entry 3 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,549,864 Read SEC document |
| December 21, 2017 Filed Dec 22, 2017 17:26 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 98,324 | $4.94 | $485,946.71 |
DisclosureSEC source: 0001140361-17-047231 · doc1.xml · nonDerivative · entry 2 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,508,465 Read SEC document |
| December 20, 2017 Filed Dec 22, 2017 17:26 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 45,434 | $4.50 | $204,312.15 |
DisclosureSEC source: 0001140361-17-047231 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,410,141 Read SEC document |
| March 17, 2017 Filed Mar 21, 2017 17:22 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | PurchaseCommon Stock | 1,250,000 | $4.00 | $5,000,000.00 |
DisclosureSEC source: 0001140361-17-012865 · doc1.xml · nonDerivative · entry 1 Stonepine Capital Management, LLC · CIK 0001440771 · Director · 10% owner STONEPINE CAPITAL, L.P. · CIK 0001370042 · Director · 10% owner Plexico Jon M · CIK 0001462580 · Director · 10% owner LYNCH TIMOTHY P · CIK 0001270925 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 3,849,711 F1 · ownership.nature: The filers (the "Filers") are Stonepine Capital Management, LLC (the "General Partner"), Stonepine Capital, L.P., Jon M. Plexico and Timothy P. Lynch. These securities are directly held by Stonepine Capital, L.P. (2,599,711 shares) and other limited partnerships (collectively, the "Funds") for the benefit of their investors. The General Partner is the general partner and investment adviser of the Funds. Mr. Plexico and Mr. Lynch are the General Partner's managers and may be deemed to have shared voting and investment power over the shares held by the Funds. F2 · ownership.nature: Each of the Filers disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each of the General Partner, Mr. Plexico and Mr. Lynch disclaims beneficial ownership of these securities except to the extent of that person's beneficial ownership therein. Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 15:42 UTC | NOVELION THERAPEUTICS INC. QLTI · Entity 152369 | GrantConvertible 2.0% Senior Notes · Derivative | 24,000,000 | Not disclosed Strike: $40.15 | Not disclosed |
DisclosureSEC source: 0001140361-16-088383 · doc1.xml · derivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000,000 Underlying: Common Stock · 597,799 shares Expires not disclosed F2 · price: Received in exchange for an equal number of Convertible 2.0% Senior Notes of Aegerion Pharmaceuticals, Inc. ("AEGR") in connection with the merger on November 29, 2016 in which AEGR became an indirect wholly-owned subsidiary of the Issuer. F1 · derivative.expiration_date: These notes do not expire, but mature on August 15, 2019, unless earlier repurchased or converted. F3 · ownership.direct: The filers (the "Filers") are Stonepine Capital, L.P. (the "Fund"), Stonepine Capital Management, LLC (the "General Partner"), Jon M. Plexico and Timothy P. Lynch. The General Partner is the general partner and investment adviser of the Fund. Mr. Plexico and Mr. Lynch are the General Partner's managers and control persons. These securities are held directly by the Fund for the benefit of its investors and are indirectly beneficially owned by the General Partner and Mr. Plexico and Mr. Lynch as the General Partner's control persons. The Fund is filing this Form 4 for itself and the other Filers. F4 · ownership.direct: The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each Filer disclaims beneficial ownership of these securities except to the extent of that Filer's pecuniary interest therein. Read SEC document |
| September 15, 2016 Filed Sep 15, 2016 19:48 UTC | NOVELION THERAPEUTICS INC. QLTI · Entity 152369 | PurchaseCommon Stock | 14,928 | $1.55 | $23,138.40 |
DisclosureSEC source: 0001140361-16-079947 · doc1.xml · nonDerivative · entry 3 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,778,496 F1 · ownership.direct: The filers (the "Filers") are Stonepine Capital, L.P. (the "Fund"), Stonepine Capital Management, LLC (the "General Partner"), Jon M. Plexico and Timothy P. Lynch. The General Partner is the general partner and investment adviser of the Fund. Mr. Plexico and Mr. Lynch are the General Partner's managers and control persons. These securities are held directly by the Fund for the benefit of its investors and are indirectly beneficially owned by the General Partner and Mr. Plexico and Mr. Lynch as the General Partner's control persons. The Fund is filing this Form 4 for itself and the other Filers. F2 · ownership.direct: The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each Filer disclaims beneficial ownership of these securities except to the extent of that Filer's pecuniary interest therein. Read SEC document |
| September 14, 2016 Filed Sep 15, 2016 19:48 UTC | NOVELION THERAPEUTICS INC. QLTI · Entity 152369 | PurchaseCommon Stock | 56,864 | $1.55 | $88,269.99 |
DisclosureSEC source: 0001140361-16-079947 · doc1.xml · nonDerivative · entry 2 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,763,568 F1 · ownership.direct: The filers (the "Filers") are Stonepine Capital, L.P. (the "Fund"), Stonepine Capital Management, LLC (the "General Partner"), Jon M. Plexico and Timothy P. Lynch. The General Partner is the general partner and investment adviser of the Fund. Mr. Plexico and Mr. Lynch are the General Partner's managers and control persons. These securities are held directly by the Fund for the benefit of its investors and are indirectly beneficially owned by the General Partner and Mr. Plexico and Mr. Lynch as the General Partner's control persons. The Fund is filing this Form 4 for itself and the other Filers. F2 · ownership.direct: The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each Filer disclaims beneficial ownership of these securities except to the extent of that Filer's pecuniary interest therein. Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 19:48 UTC | NOVELION THERAPEUTICS INC. QLTI · Entity 152369 | PurchaseCommon Stock | 61,704 | $1.54 | $95,166.08 |
DisclosureSEC source: 0001140361-16-079947 · doc1.xml · nonDerivative · entry 1 STONEPINE CAPITAL, L.P. · CIK 0001370042 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,706,704 F1 · ownership.direct: The filers (the "Filers") are Stonepine Capital, L.P. (the "Fund"), Stonepine Capital Management, LLC (the "General Partner"), Jon M. Plexico and Timothy P. Lynch. The General Partner is the general partner and investment adviser of the Fund. Mr. Plexico and Mr. Lynch are the General Partner's managers and control persons. These securities are held directly by the Fund for the benefit of its investors and are indirectly beneficially owned by the General Partner and Mr. Plexico and Mr. Lynch as the General Partner's control persons. The Fund is filing this Form 4 for itself and the other Filers. F2 · ownership.direct: The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each Filer disclaims beneficial ownership of these securities except to the extent of that Filer's pecuniary interest therein. 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.