organization · Reporting owner

JPMP CAPITAL LLC

Disclosed activity across 13 companies

Tapewire entity: 13656
SEC CIK: 0001243236

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
1 800 FLOWERS COM INCFLWS · Entity 6237	10% owner	December 10, 2004	January 11, 2005
ANESIVA, INC.ANSV · Entity 13652	10% owner	June 22, 2006	June 26, 2006
BARRIER THERAPEUTICS INCBTRX · Entity 13927	10% owner	December 30, 2004	January 04, 2005
BILL BARRETT CORPBBG · Entity 13828	10% owner	December 15, 2004	December 27, 2004
EYETECH PHARMACEUTICALS INCEYET · Entity 13992	10% owner	October 28, 2004	October 29, 2004
HUDSON TECHNOLOGIES INC /NYhdsnc · Entity 6244	10% owner	March 31, 2004	April 02, 2004
PortalPlayer, Inc.PLAY · Entity 13955	10% owner	December 31, 2004	January 04, 2005
SANTARUS INCSNTS · Entity 13856	10% owner	June 09, 2005	June 13, 2005
Seagen Inc.SGEN · Entity 13956	10% owner	December 30, 2004	January 04, 2005

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.

1 800 FLOWERS COM INC

Report date December 10, 2004 · Filed January 11, 2005

Jointly reported with J P MORGAN PARTNERS SBIC LLC, JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMORGAN CHASE & CO

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $8.78 · Expires 2014-12-10	IndirectFootnote	10,000	Reported balance After 2004-12-10 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2004-12-10 · Grant · Acquired 10,000 · Balance 10,000 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, President of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. In July 2002, the stock options were transferred to JPM SBIC. F1: These stock options are immediately exercisable.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.65 · Expires 2010-12-06	IndirectFootnote	25,000	Reported balance Holding disclosure · report date 2004-12-10 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 25,000 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, President of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. In July 2002, the stock options were transferred to JPM SBIC. F1: These stock options are immediately exercisable.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $14.34 · Expires 2011-12-04	IndirectFootnote	5,000	Reported balance Holding disclosure · report date 2004-12-10 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 5,000 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, President of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. In July 2002, the stock options were transferred to JPM SBIC. F1: These stock options are immediately exercisable.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $11.81 · Expires 2013-12-02	IndirectFootnote	5,000	Reported balance Holding disclosure · report date 2004-12-10 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 5,000 F1: These stock options are immediately exercisable. F3: These stock options were issued to J.P. Morgan Partners, LLC, the investment advisor to JPM SBIC.
Class A Common StockSEC Table I · non-derivative	Direct	3,208,240	Reported balance Holding disclosure · report date 2004-12-10 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,208,240
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $10.46 · Expires 2012-12-04	Direct	5,000	Reported balance Holding disclosure · report date 2004-12-10 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 5,000 F1: These stock options are immediately exercisable.

Filing footnotes · ownership attribution and instrument terms

F1: These stock options are immediately exercisable.

F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, President of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. In July 2002, the stock options were transferred to JPM SBIC.

F3: These stock options were issued to J.P. Morgan Partners, LLC, the investment advisor to JPM SBIC.

ANESIVA, INC.

Report date June 22, 2006 · Filed June 26, 2006

Jointly reported with J P MORGAN PARTNERS SBIC LLC, JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMORGAN CHASE & CO, JP MORGAN PARTNERS GLOBAL INVESTORS LP, J P MORGAN PARTNERS GLOBAL INVESTORS A LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP, JPMP GLOBAL INVESTORS L P

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.87 · Expires 2016-06-22	IndirectSee footnote	10,000	Reported balance After 2006-06-22 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2006-06-22 · Grant · Acquired 10,000 · Balance 10,000 F9: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 12 months. The Reporting Person has no pecuniary interest in such securities.
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2012-12-03	IndirectSee footnote	10,000	Reported balance Holding disclosure · report date 2006-06-22 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance 10,000 F6: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 48 months. The Reporting Person has no pecuniary interest in such securities.
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.44 · Expires 2015-06-07	IndirectSee footnote	2,500	Reported balance Holding disclosure · report date 2006-06-22 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 2,500 F7: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 12 months. The Reporting Person has no pecuniary interest in such securities.
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.80 · Expires 2015-12-16	IndirectSee footnote	50,000	Reported balance Holding disclosure · report date 2006-06-22 · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · Balance 50,000 F8: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. One-quarter of these shares are immediately vested, the remainder of the shares will vest in equal monthly installments over 48 months. The Reporting Person has no pecuniary interest in such securities.
Common StockSEC Table I · non-derivative	Direct	2,886,121	Reported balance Holding disclosure · report date 2006-06-22 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,886,121
Common StockSEC Table I · non-derivative	IndirectSee footnote	234,689	Reported balance Holding disclosure · report date 2006-06-22 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 234,689 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P. The Reporting Person has no pecuniary interest in such securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	35,134	Reported balance Holding disclosure · report date 2006-06-22 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 35,134 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P. The Reporting Person has no pecuniary interest in such securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	118,118	Reported balance Holding disclosure · report date 2006-06-22 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 118,118 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. The Reporting Person has no pecuniary interest in such securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	13,198	Reported balance Holding disclosure · report date 2006-06-22 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 13,198 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman II), L.P. The Reporting Person has no pecuniary interest n such securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	81,769	Reported balance Holding disclosure · report date 2006-06-22 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 81,769 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. The Reporting Person has no pecuniary interest in such securities.

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P. The Reporting Person has no pecuniary interest in such securities.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P. The Reporting Person has no pecuniary interest in such securities.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. The Reporting Person has no pecuniary interest in such securities.

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman II), L.P. The Reporting Person has no pecuniary interest n such securities.

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. The Reporting Person has no pecuniary interest in such securities.

F6: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 48 months. The Reporting Person has no pecuniary interest in such securities.

F7: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 12 months. The Reporting Person has no pecuniary interest in such securities.

F8: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. One-quarter of these shares are immediately vested, the remainder of the shares will vest in equal monthly installments over 48 months. The Reporting Person has no pecuniary interest in such securities.

F9: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 12 months. The Reporting Person has no pecuniary interest in such securities.

BARRIER THERAPEUTICS INC

Report date December 30, 2004 · Filed January 04, 2005

Jointly reported with JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMORGAN CHASE & CO, JP MORGAN PARTNERS GLOBAL INVESTORS LP, J P MORGAN PARTNERS GLOBAL INVESTORS A LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP, JPMP GLOBAL INVESTORS L P

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,323,666	Reported balance After 2004-12-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-30 · Sale · Disposed 147,134 · Balance 2,323,666
Common StockSEC Table I · non-derivative	IndirectSee footnote	147,134	Reported balance After 2004-12-30 transaction · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · 2004-12-30 · Purchase · Acquired 147,134 · Balance 147,134 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. ("Selldown").
Common StockSEC Table I · non-derivative	IndirectSee footnote	397,975	Reported balance Holding disclosure · report date 2004-12-30 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 397,975 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	201,635	Reported balance Holding disclosure · report date 2004-12-30 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 201,635 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	55,380	Reported balance Holding disclosure · report date 2004-12-30 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 55,380 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	22,483	Reported balance Holding disclosure · report date 2004-12-30 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 22,483 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. ("Selldown").

BILL BARRETT CORP

Report date December 15, 2004 · Filed December 27, 2004

Jointly reported with JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMORGAN CHASE & CO, JP MORGAN PARTNERS GLOBAL INVESTORS LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP, JPMP GLOBAL FUND BILL BARRETT A LP, JPMP GLOBAL FUND BILL BARRETT LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	3,382,856	Reported balance Holding disclosure · report date 2004-12-15 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,382,856
Common StockSEC Table I · non-derivative	IndirectSee footnote	578,471	Reported balance Holding disclosure · report date 2004-12-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 578,471 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	251,691	Reported balance Holding disclosure · report date 2004-12-15 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 251,691 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	32,660	Reported balance Holding disclosure · report date 2004-12-15 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 32,660 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	101,211	Reported balance Holding disclosure · report date 2004-12-15 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 101,211 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett A, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	41,095	Reported balance Holding disclosure · report date 2004-12-15 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 41,095 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	81,424	Reported balance Holding disclosure · report date 2004-12-15 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 81,424 F6: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	112,992	Reported balance Holding disclosure · report date 2004-12-15 · row 8 Holding and transaction disclosures are not merged. 1 source row Row 8 · Balance 112,992 F7: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett/Selldown, L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett A, L.P.

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett, L.P.

F6: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

F7: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett/Selldown, L.P.

EYETECH PHARMACEUTICALS INC

Report date October 28, 2004 · Filed October 29, 2004

Jointly reported with JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMORGAN CHASE & CO

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,240,896	Reported balance After 2004-10-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-10-28 · Sale · Disposed 1,000,000 · Balance 2,240,896
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.44 · Expires 2012-12-03	IndirectSee Footnote	60,000	Reported balance Holding disclosure · report date 2004-10-28 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 60,000 F1: These options were granted to Damion Wicker and Srinivas Akkaraju, directors of the Issuer. Mr. Wicker is Managing Director of JPMP Capital Corp., the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"). Mr. Akkaraju is a Principal at J.P. Morgan Partners, LLC and a limited partner of MF Manager. Mr. Wicker and Mr. Akkaraju are obligated to transfer any shares issued under the stock option to JPM BHCA.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $34.34 · Expires 2014-05-12	IndirectSee Footnote	20,000	Reported balance Holding disclosure · report date 2004-10-28 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 20,000 F2: These options will become exercisable on June 12, 2004. They will vest in 48 monthly installments. F1: These options were granted to Damion Wicker and Srinivas Akkaraju, directors of the Issuer. Mr. Wicker is Managing Director of JPMP Capital Corp., the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"). Mr. Akkaraju is a Principal at J.P. Morgan Partners, LLC and a limited partner of MF Manager. Mr. Wicker and Mr. Akkaraju are obligated to transfer any shares issued under the stock option to JPM BHCA.

Filing footnotes · ownership attribution and instrument terms

F1: These options were granted to Damion Wicker and Srinivas Akkaraju, directors of the Issuer. Mr. Wicker is Managing Director of JPMP Capital Corp., the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"). Mr. Akkaraju is a Principal at J.P. Morgan Partners, LLC and a limited partner of MF Manager. Mr. Wicker and Mr. Akkaraju are obligated to transfer any shares issued under the stock option to JPM BHCA.

F2: These options will become exercisable on June 12, 2004. They will vest in 48 monthly installments.

HUDSON TECHNOLOGIES INC /NY

Report date March 31, 2004 · Filed April 02, 2004

Jointly reported with FLEMING US DISCOVERY FUND III LP, FLEMING US DISCOVERY OFFSHORE FUND III L P, FLEMING US DISCOVERY PARTNERS LP, FLEMING US DISCOVERY LLC, JPMORGAN CHASE & CO

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	19,137,449	Reported balance After 2004-03-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-03-31 · Conversion · Acquired 16,397,468 · Balance 19,137,449 F1: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Fleming US Discovery Fund III, LLC (the "US Fund") and Fleming Discovery Offshore Fund III, LLC (the "Offshore Fund"). In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 2, 3, 4 and 5 below). The US Fund, as Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F2: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F3: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F4: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F5: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.79	IndirectSee footnotes	129,540	Reported balance After 2004-03-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2004-03-31 · Other · Acquired 4,454 · Balance 129,540 F8: On March 31, 2004, the Issuer paid in kind the following dividends in the form of an aggregate of 4,454 shares of Series A Preferred, in accordance with the terms of the Series A Preferred (x) to the US Fund, 3,839 shares of Series A Preferred and (y) to the Offshore Fund, 615 shares of Series A Preferred. F6: As of the date hereof, the 129,540 shares of Series A Preferred are convertible at a conversion price of $0.79 per share into 16,397,468 shares of Common Stock. F7: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 129,540 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitiled to convert the Series A Preferred into Common Stock at any time. F1: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Fleming US Discovery Fund III, LLC (the "US Fund") and Fleming Discovery Offshore Fund III, LLC (the "Offshore Fund"). In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 2, 3, 4 and 5 below). The US Fund, as Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F2: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F3: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F4: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F5: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.79	IndirectSee footnotes	0	Reported balance After 2004-03-31 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2004-03-31 · Conversion · Disposed 129,540 · Balance 0 F6: As of the date hereof, the 129,540 shares of Series A Preferred are convertible at a conversion price of $0.79 per share into 16,397,468 shares of Common Stock. F7: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 129,540 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitiled to convert the Series A Preferred into Common Stock at any time. F1: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Fleming US Discovery Fund III, LLC (the "US Fund") and Fleming Discovery Offshore Fund III, LLC (the "Offshore Fund"). In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 2, 3, 4 and 5 below). The US Fund, as Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F2: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F3: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F4: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F5: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.

Filing footnotes · ownership attribution and instrument terms

F1: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Fleming US Discovery Fund III, LLC (the "US Fund") and Fleming Discovery Offshore Fund III, LLC (the "Offshore Fund"). In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 2, 3, 4 and 5 below). The US Fund, as Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein.

F2: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund.

F3: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund.

F4: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest.

F5: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.

F6: As of the date hereof, the 129,540 shares of Series A Preferred are convertible at a conversion price of $0.79 per share into 16,397,468 shares of Common Stock.

F7: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 129,540 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitiled to convert the Series A Preferred into Common Stock at any time.

F8: On March 31, 2004, the Issuer paid in kind the following dividends in the form of an aggregate of 4,454 shares of Series A Preferred, in accordance with the terms of the Series A Preferred (x) to the US Fund, 3,839 shares of Series A Preferred and (y) to the Offshore Fund, 615 shares of Series A Preferred.

PortalPlayer, Inc.

Report date December 31, 2004 · Filed January 04, 2005

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,560,225	Reported balance After 2004-12-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-31 · Sale · Disposed 86,322 · Balance 2,560,225
Common StockSEC Table I · non-derivative	IndirectSee footnote	86,322	Reported balance After 2004-12-31 transaction · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · 2004-12-31 · Purchase · Acquired 86,322 · Balance 86,322 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	229,704	Reported balance Holding disclosure · report date 2004-12-31 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 229,704 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	31,313	Reported balance Holding disclosure · report date 2004-12-31 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 31,313 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	116,587	Reported balance Holding disclosure · report date 2004-12-31 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 116,587 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. ("Cayman").
Common StockSEC Table I · non-derivative	IndirectSee footnote	12,992	Reported balance Holding disclosure · report date 2004-12-31 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 12,992 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P. ("Cayman II").

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. ("Cayman").

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P. ("Cayman II").

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

SANTARUS INC

Report date June 09, 2005 · Filed June 13, 2005

Jointly reported with J P MORGAN PARTNERS SBIC LLC, JP MORGAN SBIC LLC, JPMP MASTER FUND MANAGER L P, JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LLP, JPMORGAN CHASE & CO

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2005-06-09	IndirectSee footnote	17,500	Reported balance After 2005-06-09 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2005-06-09 · Grant · Acquired 17,500 · Balance 17,500 F6: One-twelfth of the options vest monthly commencing 06/09/05. F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.05 · Expires 2011-12-18	IndirectSee footnote	4,285	Reported balance Holding disclosure · report date 2005-06-09 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 4,285 F3: These options are fully vested. F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.23 · Expires 2013-07-30	IndirectSee footnote	4,285	Reported balance Holding disclosure · report date 2005-06-09 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 4,285 F3: These options are fully vested. F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2013-12-03	IndirectSee footnote	10,000	Reported balance Holding disclosure · report date 2005-06-09 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance 10,000 F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.00 · Expires 2014-04-01	IndirectSee footnote	25,000	Reported balance Holding disclosure · report date 2005-06-09 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance 25,000 F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2014-07-27	IndirectSee footnote	17,500	Reported balance Holding disclosure · report date 2005-06-09 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 17,500 F5: One-twelfth of the options vest monthly commencing 7/27/04. F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Common StockSEC Table I · non-derivative	Direct	2,400,206	Reported balance Holding disclosure · report date 2005-06-09 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,400,206
Common StockSEC Table I · non-derivative	IndirectSee footnote	241,479	Reported balance Holding disclosure · report date 2005-06-09 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 241,479 F1: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Global Investors (SBIC), LLC ("JPM Global SBIC").
Common StockSEC Table I · non-derivative	IndirectSee footnote	151,982	Reported balance Holding disclosure · report date 2005-06-09 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 151,982 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Global Investors (SBIC), LLC ("JPM Global SBIC").

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

F3: These options are fully vested.

F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.

F5: One-twelfth of the options vest monthly commencing 7/27/04.

F6: One-twelfth of the options vest monthly commencing 06/09/05.

Seagen Inc.

Report date December 30, 2004 · Filed January 04, 2005

Security / award	Ownership account	Disclosed shares / units	Disclosure context
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	Direct	601,925	Reported balance After 2004-12-30 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2004-12-30 · Sale · Disposed 38,114 · Balance 601,925
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	381,140	Reported balance After 2004-12-30 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2004-12-30 · Purchase · Acquired 38,114 · Balance 381,140 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	101,421	Reported balance Holding disclosure · report date 2004-12-30 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 101,421 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	13,826	Reported balance Holding disclosure · report date 2004-12-30 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 13,826 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	51,478	Reported balance Holding disclosure · report date 2004-12-30 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 51,478 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	5,736	Reported balance Holding disclosure · report date 2004-12-30 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 5,736 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	Direct	4,815,400	Reported balance After 2004-12-30 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2004-12-30 · Sale · Disposed 30,491 · Balance 4,815,400 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	304,910	Reported balance After 2004-12-30 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2004-12-30 · Purchase · Acquired 30,491 · Balance 304,910 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	811,370	Reported balance Holding disclosure · report date 2004-12-30 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 811,370 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	110,610	Reported balance Holding disclosure · report date 2004-12-30 · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · Balance 110,610 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	411,820	Reported balance Holding disclosure · report date 2004-12-30 · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · Balance 411,820 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	45,890	Reported balance Holding disclosure · report date 2004-12-30 · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · Balance 45,890 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.
Stock Options (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.26 · Expires 2014-05-16	IndirectSee footnote	10,000	Reported balance Holding disclosure · report date 2004-12-30 · row 13 Instrument identity requires review; Table II rows are not merged. 1 source row Row 13 · Balance 10,000 F8: These options were granted to Srinivas Akkaraju, a director of the Issuer. Mr. Akkaraju is obligated to transfer any shares issued under the Stock Option to J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") at the request of JPM BHCA.

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted.

F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire.

F8: These options were granted to Srinivas Akkaraju, a director of the Issuer. Mr. Akkaraju is obligated to transfer any shares issued under the Stock Option to J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") at the request of JPM BHCA.

Past disclosures · reporting ended (4)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

HOME PRODUCTS INTERNATIONAL INC

Report date December 13, 2004 · Filed December 15, 2004

Jointly reported with J P MORGAN PARTNERS SBIC LLC, JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMORGAN CHASE & CO

Section 16 reporting ended · disclosed 2004-12-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2004-12-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-13 · Sale · Disposed 1,274,472 · Balance 0

Impax Laboratories, LLC

Report date May 05, 2004 · Filed May 07, 2004

Jointly reported with FLEMING US DISCOVERY FUND III LP, FLEMING US DISCOVERY OFFSHORE FUND III L P, FLEMING US DISCOVERY PARTNERS LP, FLEMING US DISCOVERY LLC, JPMORGAN CHASE & CO

Section 16 reporting ended · disclosed 2004-05-07. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	263,839	Reported balance After 2004-05-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-05-05 · Other · Disposed 5,922,398 · Balance 263,839 F1: (a) Fleming US Discovery Fund III, L.P. ("US Fund") made a distribution of 5,104,079 shares of the Issuer's common stock, $.01 par value per share ("Common Stock"), pro rata to its limited and general partners, and (b) Fleming US Discovery Offshore Fund III, L.P. ("Offshore Fund") made a distribution of 818,319 shares of Common Stock pro rata to its limited and general partners. Fleming US Discovery Partners, L.P. ("Discovery Partners") received 233,409 shares of Common Stock as general partner of the US Fund and 30,430 shares of Common Stock as general partner of the Offshore Fund. F2: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Discovery Partners. The US Fund and the Offshore Fund do not directly own any shares of the Issuer's Common Stock. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F3: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners which may be attributable to the US Fund and the Offshore Fund because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the US Fund and the Offshore Fund is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F4: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners a portion of which may be deemed attributable to Fleming US Dicovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F5: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F6: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.

Filing footnotes · ownership attribution and instrument terms

F1: (a) Fleming US Discovery Fund III, L.P. ("US Fund") made a distribution of 5,104,079 shares of the Issuer's common stock, $.01 par value per share ("Common Stock"), pro rata to its limited and general partners, and (b) Fleming US Discovery Offshore Fund III, L.P. ("Offshore Fund") made a distribution of 818,319 shares of Common Stock pro rata to its limited and general partners. Fleming US Discovery Partners, L.P. ("Discovery Partners") received 233,409 shares of Common Stock as general partner of the US Fund and 30,430 shares of Common Stock as general partner of the Offshore Fund.

F2: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Discovery Partners. The US Fund and the Offshore Fund do not directly own any shares of the Issuer's Common Stock. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein.

F3: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners which may be attributable to the US Fund and the Offshore Fund because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the US Fund and the Offshore Fund is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund.

F4: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners a portion of which may be deemed attributable to Fleming US Dicovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund.

F5: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest.

F6: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.

NUCO2 INC /FL

Report date December 15, 2004 · Filed December 17, 2004

Section 16 reporting ended · disclosed 2004-12-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,029,178	Reported balance After 2004-12-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-15 · Sale · Disposed 344,730 · Balance 1,029,178
Common StockSEC Table I · non-derivative	IndirectSee footnote	16,135	Reported balance After 2004-12-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2004-12-15 · Sale · Disposed 5,092 · Balance 16,135 F1: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	8,101	Reported balance After 2004-12-15 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2004-12-15 · Sale · Disposed 2,556 · Balance 8,101 F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	2,479	Reported balance After 2004-12-15 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2004-12-15 · Sale · Disposed 782 · Balance 2,479 F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	905	Reported balance After 2004-12-15 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2004-12-15 · Sale · Disposed 285 · Balance 905 F4: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.
Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.82 · Expires 2011-01-01	IndirectSee footnote	2,000	Reported balance Holding disclosure · report date 2004-12-15 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance 2,000 F5: These options are immediately exercisable. F6: The option was granted to Richard Waters, a limited partner of the JPMP Master Fund Manager, L.P., which is the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") and a Managing Director of the general partner of JPMP Master Fund Manager, L.P. Mr. Waters is obligated to exercise the option at the request of, and to transfer any shares issued under the stock option to, JPM BHCA. All shares issued under the stock option were transferred to JPM BHCA. Mr. Waters ceased to be a director of the Issuer on December 10, 2004.
Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $4.85 · Expires 2013-03-12	IndirectSee footnote	2,000	Reported balance Holding disclosure · report date 2004-12-15 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance 2,000 F5: These options are immediately exercisable. F6: The option was granted to Richard Waters, a limited partner of the JPMP Master Fund Manager, L.P., which is the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") and a Managing Director of the general partner of JPMP Master Fund Manager, L.P. Mr. Waters is obligated to exercise the option at the request of, and to transfer any shares issued under the stock option to, JPM BHCA. All shares issued under the stock option were transferred to JPM BHCA. Mr. Waters ceased to be a director of the Issuer on December 10, 2004.

Filing footnotes · ownership attribution and instrument terms

F1: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.

F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.

F4: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

F5: These options are immediately exercisable.

F6: The option was granted to Richard Waters, a limited partner of the JPMP Master Fund Manager, L.P., which is the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") and a Managing Director of the general partner of JPMP Master Fund Manager, L.P. Mr. Waters is obligated to exercise the option at the request of, and to transfer any shares issued under the stock option to, JPM BHCA. All shares issued under the stock option were transferred to JPM BHCA. Mr. Waters ceased to be a director of the Issuer on December 10, 2004.

Steel Connect LLC

Report date November 16, 2004 · Filed November 18, 2004

Jointly reported with JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMORGAN CHASE & CO

Section 16 reporting ended · disclosed 2004-11-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, .01 par valueSEC Table I · non-derivative	Direct	706,518	Reported balance After 2004-11-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-11-16 · Sale · Disposed 3,052 · Balance 706,518

Transaction history

JSON API

Purchases/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
February 18, 2004 Filed Feb 20, 2004 15:34 UTC	ANESIVA, INC. CGTK · Entity 13652	ConversionCommon Stock	27,759	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000691 · b330376_ex.xml · nonDerivative · entry 5 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS GLOBAL INVESTORS LP · CIK 0001162622 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS A LP · CIK 0001167095 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP · CIK 0001169890 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP · CIK 0001169889 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 27,759 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. F4 · ownership.nature: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P. ("Cayman II"). Read SEC document
February 18, 2004 Filed Feb 20, 2004 15:34 UTC	ANESIVA, INC. CGTK · Entity 13652	ConversionCommon Stock	248,680	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000691 · b330376_ex.xml · nonDerivative · entry 4 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS GLOBAL INVESTORS LP · CIK 0001162622 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS A LP · CIK 0001167095 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP · CIK 0001169890 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP · CIK 0001169889 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 248,680 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. F3 · ownership.nature: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. ("Cayman"). Read SEC document
February 18, 2004 Filed Feb 20, 2004 15:34 UTC	ANESIVA, INC. CGTK · Entity 13652	ConversionCommon Stock	71,296	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000691 · b330376_ex.xml · nonDerivative · entry 3 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS GLOBAL INVESTORS LP · CIK 0001162622 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS A LP · CIK 0001167095 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP · CIK 0001169890 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP · CIK 0001169889 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 71,296 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 · ownership.nature: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P. Read SEC document
February 18, 2004 Filed Feb 20, 2004 15:34 UTC	ANESIVA, INC. CGTK · Entity 13652	ConversionCommon Stock	492,559	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000691 · b330376_ex.xml · nonDerivative · entry 2 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS GLOBAL INVESTORS LP · CIK 0001162622 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS A LP · CIK 0001167095 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP · CIK 0001169890 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP · CIK 0001169889 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 492,559 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 · ownership.nature: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P. Read SEC document
February 18, 2004 Filed Feb 20, 2004 15:34 UTC	ANESIVA, INC. CGTK · Entity 13652	ConversionCommon Stock	3,680,369	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000691 · b330376_ex.xml · nonDerivative · entry 1 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner JP MORGAN PARTNERS GLOBAL INVESTORS LP · CIK 0001162622 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS A LP · CIK 0001167095 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP · CIK 0001169890 · 10% owner J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP · CIK 0001169889 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,680,369 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. Read SEC document
February 17, 2004 Filed Feb 19, 2004 19:30 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	6,800	$9.94	$67,592.00	Disclosure SEC source: 0001125282-04-000665 · b330329_ex.xml · nonDerivative · entry 1 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,785,596 Read SEC document
February 11, 2004 Filed Feb 13, 2004 21:59 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	100	$10.15	$1,015.00	Disclosure SEC source: 0001125282-04-000512 · b330185_ex.xml · nonDerivative · entry 3 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,792,396 Read SEC document
February 11, 2004 Filed Feb 13, 2004 21:59 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	100	$10.10	$1,010.00	Disclosure SEC source: 0001125282-04-000512 · b330185_ex.xml · nonDerivative · entry 2 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,792,396 Read SEC document
February 11, 2004 Filed Feb 13, 2004 21:59 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	10,121	$10.05	$101,716.05	Disclosure SEC source: 0001125282-04-000512 · b330185_ex.xml · nonDerivative · entry 1 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,792,396 Read SEC document
February 10, 2004 Filed Feb 12, 2004 20:49 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	10,075	$10.14	$102,160.50	Disclosure SEC source: 0001125282-04-000427 · b330145_ex.xml · nonDerivative · entry 1 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,802,717 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	23,861	$10.29	$245,529.69	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 14 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	400	$10.28	$4,112.00	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 13 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	1,373	$10.27	$14,100.71	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 12 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	314	$10.26	$3,221.33	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 11 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	1,327	$10.25	$13,600.42	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 10 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	1,000	$10.24	$10,243.00	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 9 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	100	$10.24	$1,024.00	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 8 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	1,900	$10.23	$19,437.00	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 7 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	100	$10.22	$1,022.00	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 6 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	300	$10.21	$3,063.00	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 5 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	800	$10.19	$8,152.00	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 4 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	33,108	$10.18	$337,039.44	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 3 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	600	$10.15	$6,090.00	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 2 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 09, 2004 Filed Feb 11, 2004 18:23 UTC	1 800 FLOWERS COM INC FLWS · Entity 6237	SaleClass A Common Stock	18,614	$10.14	$188,745.96	Disclosure SEC source: 0001125282-04-000388 · b330108_ex.xml · nonDerivative · entry 1 J P MORGAN PARTNERS SBIC LLC · CIK 0001106605 · 10% owner JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,812,792 Read SEC document
February 04, 2004 Filed Feb 6, 2004 17:09 UTC	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	OtherSeries C-2 Warrant (right to buy) · Derivative	347,222	$7.20 Strike: $7.20	$2,499,998.40	Disclosure SEC source: 0001125282-04-000336 · b330027_ex.xml · derivative · entry 9 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 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 · 347,222 shares Expires not disclosed F5 · derivative.expiration_date: Warrant to purchase Series C-2 Convertible Preferred Stock at an exercise price of $7.20 per share. The Warrant expires upon the earlier of the closing of the Issuer's initial public offering of Common Stock and, July 23, 2008. The shares of Series C-2 Convertible Preferred Stock underlying the Warrant are convertible on a one for one basis into shares of Common Stock. Read SEC document
February 04, 2004 Filed Feb 6, 2004 17:09 UTC	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	OtherSeries C-1 Warrant (right to buy) · Derivative	367,647	$6.80 Strike: $6.80	$2,499,999.60	Disclosure SEC source: 0001125282-04-000336 · b330027_ex.xml · derivative · entry 8 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 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 · 367,647 shares Expires not disclosed F4 · derivative.expiration_date: Warrant to purchase Series C-1 Convertible Preferred Stock at an exercise price of $6.80 per share. The Warrant expires upon the earlier of the closing of the Issuer's initial public offering by Common Stock and, July 23, 2008. The shares of Series C-1 Convertible Preferred Stock underlying the Warrant are convertible on a one for one basis into shares of Common Stock. Read SEC document
February 04, 2004 Filed Feb 6, 2004 17:09 UTC	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	ConversionSeries C-2 Convertible Preferred Stock · Derivative	1,736,111	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000336 · b330027_ex.xml · derivative · entry 7 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 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 · 1,736,111 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: These shares are convertible on a one for one basis. F3 · derivative.exercise_date: The Series C-1 and Series C-2 Convertible Preferred Stock is immediately exercisable. It has no expiration date. Upon the close of the Issuer's initial public offering, these shares were automatically converted into Common Stock of the Issuer. F3 · derivative.expiration_date: The Series C-1 and Series C-2 Convertible Preferred Stock is immediately exercisable. It has no expiration date. Upon the close of the Issuer's initial public offering, these shares were automatically converted into Common Stock of the Issuer. Read SEC document
February 04, 2004 Filed Feb 6, 2004 17:09 UTC	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	ConversionSeries C-1 Convertible Preferred Stock · Derivative	1,838,235	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000336 · b330027_ex.xml · derivative · entry 6 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 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 · 1,838,235 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: These shares are convertible on a one for one basis. F3 · derivative.exercise_date: The Series C-1 and Series C-2 Convertible Preferred Stock is immediately exercisable. It has no expiration date. Upon the close of the Issuer's initial public offering, these shares were automatically converted into Common Stock of the Issuer. F3 · derivative.expiration_date: The Series C-1 and Series C-2 Convertible Preferred Stock is immediately exercisable. It has no expiration date. Upon the close of the Issuer's initial public offering, these shares were automatically converted into Common Stock of the Issuer. Read SEC document
February 04, 2004 Filed Feb 6, 2004 17:09 UTC	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	GrantCommon Stock	347,222	$7.20	$2,499,998.40	Disclosure SEC source: 0001125282-04-000336 · b330027_ex.xml · nonDerivative · entry 4 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,289,215 Read SEC document
February 04, 2004 Filed Feb 6, 2004 17:09 UTC	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	GrantCommon Stock	367,647	$6.80	$2,499,999.60	Disclosure SEC source: 0001125282-04-000336 · b330027_ex.xml · nonDerivative · entry 3 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,289,215 Read SEC document
February 04, 2004 Filed Feb 6, 2004 17:09 UTC	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	ConversionCommon Stock	1,736,111	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000336 · b330027_ex.xml · nonDerivative · entry 2 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,289,215 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. Read SEC document
February 04, 2004 Filed Feb 6, 2004 17:09 UTC	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	ConversionCommon Stock	1,838,235	$0.00	$0.00	Disclosure SEC source: 0001125282-04-000336 · b330027_ex.xml · nonDerivative · entry 1 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,289,215 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. Read SEC document
February 04, 2004 Filed Jun 4, 2004 16:16 UTC Amendment	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	OtherSeries C-2 Warrant (right to buy) · Derivative	347,222	$7.20 Strike: $7.20	$2,499,998.40	Disclosure SEC source: 0001125282-04-002614 · b332453_ex.xml · derivative · entry 9 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 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 · 347,222 shares Expires not disclosed F5 · derivative.expiration_date: Warrant to purchase Series C-2 Convertible Preferred Stock at an exercise price of $7.20 per share. The Warrant expires upon the earlier of the closing of the Issuer's initial public offering of Common Stock and, July 23, 2008. The shares of Series C-2 Convertible Preferred Stock underlying the Warrant are convertible on a one for one basis into shares of Common Stock. These Warrants were initially exercisable for 347,222 shares of the Issuer's Series C-2 Convertible Preferred Stock. However, due to a cashless exercise of these Warrants, the Reporting Person received 228,174 shares of Series C-2 Convertible Preferred Stock upon the exercise of the Warrants. Read SEC document
February 04, 2004 Filed Jun 4, 2004 16:16 UTC Amendment	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	OtherSeries C-1 Warrant (right to buy) · Derivative	367,647	$6.80 Strike: $6.80	$2,499,999.60	Disclosure SEC source: 0001125282-04-002614 · b332453_ex.xml · derivative · entry 8 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 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 · 367,647 shares Expires not disclosed F4 · derivative.expiration_date: Warrant to purchase Series C-1 Convertible Preferred Stock at an exercise price of $6.80 per share. The Warrant expires upon the earlier of the closing of the Issuer's initial public offering by Common Stock and, July 23, 2008. The shares of Series C-1 Convertible Preferred Stock underlying the Warrant are convertible on a one for one basis into shares of Common Stock. These Warrants were initially exercisable for 367,647 shares of the Issuer's Series C-1 Convertible Preferred Stock. However, due to a cashless exercise of these Warrants, the Reporting Person received 248,599 shares of Series C-1 Convertible Preferred Stock upon the exercise of the Warrants. Read SEC document
February 04, 2004 Filed Jun 4, 2004 16:16 UTC Amendment	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	ConversionSeries C-2 Convertible Preferred Stock · Derivative	1,736,111	$0.00	$0.00	Disclosure SEC source: 0001125282-04-002614 · b332453_ex.xml · derivative · entry 7 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 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 · 1,736,111 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: These shares are convertible on a one for one basis. F3 · derivative.exercise_date: The Series C-1 and Series C-2 Convertible Preferred Stock is immediately exercisable. It has no expiration date. Upon the close of the Issuer's initial public offering, these shares were automatically converted into Common Stock of the Issuer. F3 · derivative.expiration_date: The Series C-1 and Series C-2 Convertible Preferred Stock is immediately exercisable. It has no expiration date. Upon the close of the Issuer's initial public offering, these shares were automatically converted into Common Stock of the Issuer. Read SEC document
February 04, 2004 Filed Jun 4, 2004 16:16 UTC Amendment	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	ConversionSeries C-1 Convertible Preferred Stock · Derivative	1,838,235	$0.00	$0.00	Disclosure SEC source: 0001125282-04-002614 · b332453_ex.xml · derivative · entry 6 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 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 · 1,838,235 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: These shares are convertible on a one for one basis. F3 · derivative.exercise_date: The Series C-1 and Series C-2 Convertible Preferred Stock is immediately exercisable. It has no expiration date. Upon the close of the Issuer's initial public offering, these shares were automatically converted into Common Stock of the Issuer. F3 · derivative.expiration_date: The Series C-1 and Series C-2 Convertible Preferred Stock is immediately exercisable. It has no expiration date. Upon the close of the Issuer's initial public offering, these shares were automatically converted into Common Stock of the Issuer. Read SEC document
February 04, 2004 Filed Jun 4, 2004 16:16 UTC Amendment	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	GrantCommon Stock	228,174	$7.20	$1,642,852.80	Disclosure SEC source: 0001125282-04-002614 · b332453_ex.xml · nonDerivative · entry 4 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,051,119 Read SEC document
February 04, 2004 Filed Jun 4, 2004 16:16 UTC Amendment	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	GrantCommon Stock	248,599	$6.80	$1,690,473.20	Disclosure SEC source: 0001125282-04-002614 · b332453_ex.xml · nonDerivative · entry 3 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,051,119 Read SEC document
February 04, 2004 Filed Jun 4, 2004 16:16 UTC Amendment	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	ConversionCommon Stock	1,736,111	$0.00	$0.00	Disclosure SEC source: 0001125282-04-002614 · b332453_ex.xml · nonDerivative · entry 2 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,051,119 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. Read SEC document
February 04, 2004 Filed Jun 4, 2004 16:16 UTC Amendment	EYETECH PHARMACEUTICALS INC EYET · Entity 13992	ConversionCommon Stock	1,838,235	$0.00	$0.00	Disclosure SEC source: 0001125282-04-002614 · b332453_ex.xml · nonDerivative · entry 1 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,051,119 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. Read SEC document
January 31, 2004 Filed Feb 3, 2004 14:41 UTC	NUCO2 INC /FL NUCO · Entity 13971	GrantConvertible Preferred Stock · Derivative	14,172	$0.00 Strike: $9.28	$0.00	Disclosure SEC source: 0001125282-04-000296 · b329912_ex.xml · derivative · entry 5 JP MORGAN PARTNERS BHCA LP · CIK 0001106607 · 10% owner JPMP MASTER FUND MANAGER L P · CIK 0001243235 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 722,775 Underlying: Common Stock · 722,775 shares Expires not disclosed F5 · security: Pursuant to the anti-dilution provisions of the warrants and the convertible preferred stock, the number of shares of common stock issuable upon exercise of outstanding warrants increased and the conversion price of the Convertible Preferred Stock decreased as the result of a private placement effected on August 22, 2002. F6 · derivative.exercise_price: Dividends are payable in kind if not paid in cash. F4 · derivative.exercise_date: The Convertible Preferred Stock is immediately exercisable. It has no expiration date. F4 · derivative.expiration_date: The Convertible Preferred Stock is immediately exercisable. It has no expiration date. Read SEC document
January 30, 2004 Filed Feb 24, 2004 14:04 UTC	Impax Laboratories, LLC IPXL · Entity 14052	ConversionSeries 2 Convertible Preferred Stock · Derivative	75,000	Not disclosed Strike: $5.00	Not disclosed	Disclosure SEC source: 0001024780-04-000001 · primary_doc.xml · derivative · entry 3 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes. Disclosed balance after: 0 Underlying: Common Stock · 1,500,000 shares Expires 2005-03-31 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. F7 · price: The US Fund converted 64,637 shares of Series 2 Convertible Preferred Stock, at a conversion price of $5.00 per share, resulting in its acquisition of 1,292,740 shares of Common Stock and the Offshore Fund converted 10,363 shares of Series 2 Convertible Preferred Stock, at a conversion price of $5.00 per share, resulting in its acquisition of 207,260 shares of Common Stock. F8 · derivative.exercise_date: Exercisable immediately. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designatued Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F3 · ownership.nature: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F4 · ownership.nature: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F5 · ownership.nature: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F6 · ownership.nature: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Read SEC document
January 30, 2004 Filed Feb 24, 2004 14:04 UTC	Impax Laboratories, LLC IPXL · Entity 14052	PurchaseCommon Stock	1,500,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001024780-04-000001 · primary_doc.xml · nonDerivative · entry 1 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 5,383,842 F1 · kind: (a) Fleming US Discovery Fund III, L.P. ("US Fund") made a cashless exercise of a warrant to purchase 41,011 shares of the Issuer's common stock, $.01 par value per share ("Common Stock"), at an initial exercise price of $7.421 per share (subject to adjustment) and a warrant to purchase 538,662 shares of Common Stock at an initial exercise price of $4.00 per share, and (b) Fleming US Discovery Offshore Fund III, L.P. ("Offshore Fund") made a cashless exercise of a warrant to purchase 6,591 shares of Common Stock, at an initial exercise price of $7.421 per share (subject to adjustment) and a warrant to purchase 86,338 shares of Common Stock at an initial exercise price of $4.00 per share. F1 · price: (a) Fleming US Discovery Fund III, L.P. ("US Fund") made a cashless exercise of a warrant to purchase 41,011 shares of the Issuer's common stock, $.01 par value per share ("Common Stock"), at an initial exercise price of $7.421 per share (subject to adjustment) and a warrant to purchase 538,662 shares of Common Stock at an initial exercise price of $4.00 per share, and (b) Fleming US Discovery Offshore Fund III, L.P. ("Offshore Fund") made a cashless exercise of a warrant to purchase 6,591 shares of Common Stock, at an initial exercise price of $7.421 per share (subject to adjustment) and a warrant to purchase 86,338 shares of Common Stock at an initial exercise price of $4.00 per share. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designatued Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F3 · ownership.nature: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F4 · ownership.nature: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F5 · ownership.nature: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F6 · ownership.nature: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Read SEC document
December 19, 2003 Filed Dec 23, 2003 02:08 UTC	HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244	OtherSeries A Convertible Preferred Stock · Derivative	0	Not disclosed Strike: $0.79	Not disclosed	Disclosure SEC source: 0001024780-03-000004 · primary_doc.xml · derivative · entry 10 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes 3,4,5 and 6 Disclosed balance after: 125,086 Underlying: Common Stock · 15,833,671 shares Expires not disclosed F12 · kind: Pursuant to the Agreement, Waiver and Consent dated as of December 19, 2002 between the Issuer and each of the US Fund and the Offshore Fund, each of the US Fund and the Offshore Fund agreed to defer the implementation of the anti-dilution provisions with respect to the conversion price of the Series A Preferred that would otherwise result from the issuance of the 10% Exchange Notes. However, such waiver of the anti-dilution adjustment does not apply in the event of a conversion of such notes in connection with the Issuer's equity offering. Thus, the issuance of shares of common stock on December 19, 2003 in connection with the conversion of the 10% Exchange Notes in connection with the Issuer's equity offering at the conversion rate of $0.79 per share triggered the anti-dilution adjustment provisions of the Series A Preferred, resulting in a reduction of the conversion price of the Series A Preferred from $1.10 per share to $0.79 per share. F13 · kind: As of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $0.79 into 15,833,671 shares of Common Stock. The foregoing calculation of the conversion of the Series A Preferred at $0.79 per share reflects deemed beneficial owenrship with respective to dispositive power. However, pursuant to Seciton 4 of the Certificate of Amendment to the Certificate of Incorporation of the Issuer filed January 3, 2003, in determining the number of votes per share of the Series A Preferred, the conversion price shall be the higher of (a) the conversion price then in effect, or (b) $1.78. In accordance therewith, the conversion price is $1.78 solely with respect to the voting power of the Series A Preferred. Therefore, with respect to voting power, as of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $1.78 per share into 7,027,303 shares of Common Stock. F14 · kind: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 125,086 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitled to convert the Series A Preferred into Common Stock at any time. However, on March 31, 2004, the Issuer has the option to redeem all, but not less than all, of the outstanding shares of Series A Preferred at the mandatory redemption price (as defined in the designation fo the Series A Preferred in the Issuer's Certificate of Incorporation) on March 31, 2004. F12 · shares: Pursuant to the Agreement, Waiver and Consent dated as of December 19, 2002 between the Issuer and each of the US Fund and the Offshore Fund, each of the US Fund and the Offshore Fund agreed to defer the implementation of the anti-dilution provisions with respect to the conversion price of the Series A Preferred that would otherwise result from the issuance of the 10% Exchange Notes. However, such waiver of the anti-dilution adjustment does not apply in the event of a conversion of such notes in connection with the Issuer's equity offering. Thus, the issuance of shares of common stock on December 19, 2003 in connection with the conversion of the 10% Exchange Notes in connection with the Issuer's equity offering at the conversion rate of $0.79 per share triggered the anti-dilution adjustment provisions of the Series A Preferred, resulting in a reduction of the conversion price of the Series A Preferred from $1.10 per share to $0.79 per share. F13 · shares: As of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $0.79 into 15,833,671 shares of Common Stock. The foregoing calculation of the conversion of the Series A Preferred at $0.79 per share reflects deemed beneficial owenrship with respective to dispositive power. However, pursuant to Seciton 4 of the Certificate of Amendment to the Certificate of Incorporation of the Issuer filed January 3, 2003, in determining the number of votes per share of the Series A Preferred, the conversion price shall be the higher of (a) the conversion price then in effect, or (b) $1.78. In accordance therewith, the conversion price is $1.78 solely with respect to the voting power of the Series A Preferred. Therefore, with respect to voting power, as of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $1.78 per share into 7,027,303 shares of Common Stock. F14 · shares: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 125,086 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitled to convert the Series A Preferred into Common Stock at any time. However, on March 31, 2004, the Issuer has the option to redeem all, but not less than all, of the outstanding shares of Series A Preferred at the mandatory redemption price (as defined in the designation fo the Series A Preferred in the Issuer's Certificate of Incorporation) on March 31, 2004. F12 · price: Pursuant to the Agreement, Waiver and Consent dated as of December 19, 2002 between the Issuer and each of the US Fund and the Offshore Fund, each of the US Fund and the Offshore Fund agreed to defer the implementation of the anti-dilution provisions with respect to the conversion price of the Series A Preferred that would otherwise result from the issuance of the 10% Exchange Notes. However, such waiver of the anti-dilution adjustment does not apply in the event of a conversion of such notes in connection with the Issuer's equity offering. Thus, the issuance of shares of common stock on December 19, 2003 in connection with the conversion of the 10% Exchange Notes in connection with the Issuer's equity offering at the conversion rate of $0.79 per share triggered the anti-dilution adjustment provisions of the Series A Preferred, resulting in a reduction of the conversion price of the Series A Preferred from $1.10 per share to $0.79 per share. F13 · price: As of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $0.79 into 15,833,671 shares of Common Stock. The foregoing calculation of the conversion of the Series A Preferred at $0.79 per share reflects deemed beneficial owenrship with respective to dispositive power. However, pursuant to Seciton 4 of the Certificate of Amendment to the Certificate of Incorporation of the Issuer filed January 3, 2003, in determining the number of votes per share of the Series A Preferred, the conversion price shall be the higher of (a) the conversion price then in effect, or (b) $1.78. In accordance therewith, the conversion price is $1.78 solely with respect to the voting power of the Series A Preferred. Therefore, with respect to voting power, as of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $1.78 per share into 7,027,303 shares of Common Stock. F14 · price: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 125,086 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitled to convert the Series A Preferred into Common Stock at any time. However, on March 31, 2004, the Issuer has the option to redeem all, but not less than all, of the outstanding shares of Series A Preferred at the mandatory redemption price (as defined in the designation fo the Series A Preferred in the Issuer's Certificate of Incorporation) on March 31, 2004. F12 · derivative.exercise_date: Pursuant to the Agreement, Waiver and Consent dated as of December 19, 2002 between the Issuer and each of the US Fund and the Offshore Fund, each of the US Fund and the Offshore Fund agreed to defer the implementation of the anti-dilution provisions with respect to the conversion price of the Series A Preferred that would otherwise result from the issuance of the 10% Exchange Notes. However, such waiver of the anti-dilution adjustment does not apply in the event of a conversion of such notes in connection with the Issuer's equity offering. Thus, the issuance of shares of common stock on December 19, 2003 in connection with the conversion of the 10% Exchange Notes in connection with the Issuer's equity offering at the conversion rate of $0.79 per share triggered the anti-dilution adjustment provisions of the Series A Preferred, resulting in a reduction of the conversion price of the Series A Preferred from $1.10 per share to $0.79 per share. F13 · derivative.exercise_date: As of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $0.79 into 15,833,671 shares of Common Stock. The foregoing calculation of the conversion of the Series A Preferred at $0.79 per share reflects deemed beneficial owenrship with respective to dispositive power. However, pursuant to Seciton 4 of the Certificate of Amendment to the Certificate of Incorporation of the Issuer filed January 3, 2003, in determining the number of votes per share of the Series A Preferred, the conversion price shall be the higher of (a) the conversion price then in effect, or (b) $1.78. In accordance therewith, the conversion price is $1.78 solely with respect to the voting power of the Series A Preferred. Therefore, with respect to voting power, as of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $1.78 per share into 7,027,303 shares of Common Stock. F14 · derivative.exercise_date: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 125,086 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitled to convert the Series A Preferred into Common Stock at any time. However, on March 31, 2004, the Issuer has the option to redeem all, but not less than all, of the outstanding shares of Series A Preferred at the mandatory redemption price (as defined in the designation fo the Series A Preferred in the Issuer's Certificate of Incorporation) on March 31, 2004. F12 · derivative.expiration_date: Pursuant to the Agreement, Waiver and Consent dated as of December 19, 2002 between the Issuer and each of the US Fund and the Offshore Fund, each of the US Fund and the Offshore Fund agreed to defer the implementation of the anti-dilution provisions with respect to the conversion price of the Series A Preferred that would otherwise result from the issuance of the 10% Exchange Notes. However, such waiver of the anti-dilution adjustment does not apply in the event of a conversion of such notes in connection with the Issuer's equity offering. Thus, the issuance of shares of common stock on December 19, 2003 in connection with the conversion of the 10% Exchange Notes in connection with the Issuer's equity offering at the conversion rate of $0.79 per share triggered the anti-dilution adjustment provisions of the Series A Preferred, resulting in a reduction of the conversion price of the Series A Preferred from $1.10 per share to $0.79 per share. F13 · derivative.expiration_date: As of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $0.79 into 15,833,671 shares of Common Stock. The foregoing calculation of the conversion of the Series A Preferred at $0.79 per share reflects deemed beneficial owenrship with respective to dispositive power. However, pursuant to Seciton 4 of the Certificate of Amendment to the Certificate of Incorporation of the Issuer filed January 3, 2003, in determining the number of votes per share of the Series A Preferred, the conversion price shall be the higher of (a) the conversion price then in effect, or (b) $1.78. In accordance therewith, the conversion price is $1.78 solely with respect to the voting power of the Series A Preferred. Therefore, with respect to voting power, as of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $1.78 per share into 7,027,303 shares of Common Stock. F14 · derivative.expiration_date: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 125,086 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitled to convert the Series A Preferred into Common Stock at any time. However, on March 31, 2004, the Issuer has the option to redeem all, but not less than all, of the outstanding shares of Series A Preferred at the mandatory redemption price (as defined in the designation fo the Series A Preferred in the Issuer's Certificate of Incorporation) on March 31, 2004. F12 · derivative.underlying_shares: Pursuant to the Agreement, Waiver and Consent dated as of December 19, 2002 between the Issuer and each of the US Fund and the Offshore Fund, each of the US Fund and the Offshore Fund agreed to defer the implementation of the anti-dilution provisions with respect to the conversion price of the Series A Preferred that would otherwise result from the issuance of the 10% Exchange Notes. However, such waiver of the anti-dilution adjustment does not apply in the event of a conversion of such notes in connection with the Issuer's equity offering. Thus, the issuance of shares of common stock on December 19, 2003 in connection with the conversion of the 10% Exchange Notes in connection with the Issuer's equity offering at the conversion rate of $0.79 per share triggered the anti-dilution adjustment provisions of the Series A Preferred, resulting in a reduction of the conversion price of the Series A Preferred from $1.10 per share to $0.79 per share. F13 · derivative.underlying_shares: As of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $0.79 into 15,833,671 shares of Common Stock. The foregoing calculation of the conversion of the Series A Preferred at $0.79 per share reflects deemed beneficial owenrship with respective to dispositive power. However, pursuant to Seciton 4 of the Certificate of Amendment to the Certificate of Incorporation of the Issuer filed January 3, 2003, in determining the number of votes per share of the Series A Preferred, the conversion price shall be the higher of (a) the conversion price then in effect, or (b) $1.78. In accordance therewith, the conversion price is $1.78 solely with respect to the voting power of the Series A Preferred. Therefore, with respect to voting power, as of the date hereof, the 125,086 shares of Series A Preferred are convertible at a conversion price of $1.78 per share into 7,027,303 shares of Common Stock. F14 · derivative.underlying_shares: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 125,086 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitled to convert the Series A Preferred into Common Stock at any time. However, on March 31, 2004, the Issuer has the option to redeem all, but not less than all, of the outstanding shares of Series A Preferred at the mandatory redemption price (as defined in the designation fo the Series A Preferred in the Issuer's Certificate of Incorporation) on March 31, 2004. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership fo the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. Read SEC document
December 19, 2003 Filed Dec 23, 2003 02:08 UTC	HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244	OtherAdditional Convertible Note Warrants · Derivative	35,461	Not disclosed Strike: $1.21	Not disclosed	Disclosure SEC source: 0001024780-03-000004 · primary_doc.xml · derivative · entry 9 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes 3,4,5 and 6 Disclosed balance after: 35,461 Underlying: Common Stock · 35,461 shares Expires 2008-12-19 F11 · kind: The Equity Offering triggered the obligation of Issuer to issue common stock purchase warrants (Addt'l Conv. Note Warrants) to holders of 10% Addt'l Conv. Notes, exercisable to purchase shares of the Issuer's Common Stock equal to 10% of the no. of shares of Common Stock into which the 10% Addt'l Conv. Notes were convertible at the time of their issuance, for a period of 5 years from their date of issuance, at an exercise price equal to 110% of the lesser of the conversion rate of the 10% Addt'l Conv. Notes as of the date of their issuance, or the conversion rate of the 10% Addt'l Conv. Notes as of the date of the issuance of the Addt'l Conv. Note Warrants. Thus, the Issuer has issued to the US Fund, Addt'l Conv. Note Warrants to purchase 30,567 shares of the Issuer's Common Stock, at an exercise price equal to $1.21 per share; and to the Offshore Fund, Addt'l Conv. Note Warrants to purchase 4,894 shares of the Issuer's Common Stock, at an exercise price equal to $1.21 per share. F11 · price: The Equity Offering triggered the obligation of Issuer to issue common stock purchase warrants (Addt'l Conv. Note Warrants) to holders of 10% Addt'l Conv. Notes, exercisable to purchase shares of the Issuer's Common Stock equal to 10% of the no. of shares of Common Stock into which the 10% Addt'l Conv. Notes were convertible at the time of their issuance, for a period of 5 years from their date of issuance, at an exercise price equal to 110% of the lesser of the conversion rate of the 10% Addt'l Conv. Notes as of the date of their issuance, or the conversion rate of the 10% Addt'l Conv. Notes as of the date of the issuance of the Addt'l Conv. Note Warrants. Thus, the Issuer has issued to the US Fund, Addt'l Conv. Note Warrants to purchase 30,567 shares of the Issuer's Common Stock, at an exercise price equal to $1.21 per share; and to the Offshore Fund, Addt'l Conv. Note Warrants to purchase 4,894 shares of the Issuer's Common Stock, at an exercise price equal to $1.21 per share. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership fo the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. Read SEC document
December 19, 2003 Filed Dec 23, 2003 02:08 UTC	HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244	OtherConvertible Note Warrants · Derivative	30,974	Not disclosed Strike: $1.21	Not disclosed	Disclosure SEC source: 0001024780-03-000004 · primary_doc.xml · derivative · entry 8 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes 3,4,5 and 6 Disclosed balance after: 30,974 Underlying: Common Stock · 30,974 shares Expires 2008-12-19 F10 · kind: The Equity Offering triggered the obligation of the Issuer to issue common stock purchase warrants (Convertible Note Warrants) to holders of the 10% Convertible Notes, exercisable to purchase shares of the Issuer's Common Stock equal to 10% of the number of shares of Common Stock into which the 10% Convertible Notes were convertible at the time of their issuance, for a period of 5 years from their date of issuance, at an exercise price equal to 110% of the lesser of the conversion rate of the 10% Convertible Notes as of the date of their issuance, or the conversion rate of the 10% Convertible Notes as of the date of the issuance of the Convertible Note Warrants. Thus, the Issuer has issued to the US Fund, Convertible Note Warrants to purchase 26,726 shares of the Issuer's Common Stock, at an exercise price equal to $1.21 per share; and to the Offshore Fund, Convertible Note Warrants to purchase 4,248 shares of the Issuer's Common Stock, at an exercise price equal to $1.21 per share. F10 · price: The Equity Offering triggered the obligation of the Issuer to issue common stock purchase warrants (Convertible Note Warrants) to holders of the 10% Convertible Notes, exercisable to purchase shares of the Issuer's Common Stock equal to 10% of the number of shares of Common Stock into which the 10% Convertible Notes were convertible at the time of their issuance, for a period of 5 years from their date of issuance, at an exercise price equal to 110% of the lesser of the conversion rate of the 10% Convertible Notes as of the date of their issuance, or the conversion rate of the 10% Convertible Notes as of the date of the issuance of the Convertible Note Warrants. Thus, the Issuer has issued to the US Fund, Convertible Note Warrants to purchase 26,726 shares of the Issuer's Common Stock, at an exercise price equal to $1.21 per share; and to the Offshore Fund, Convertible Note Warrants to purchase 4,248 shares of the Issuer's Common Stock, at an exercise price equal to $1.21 per share. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership fo the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. Read SEC document
December 19, 2003 Filed Dec 23, 2003 02:08 UTC	HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244	OtherExchange Note Warrants · Derivative	51,358	Not disclosed Strike: $0.87	Not disclosed	Disclosure SEC source: 0001024780-03-000004 · primary_doc.xml · derivative · entry 7 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes 3,4,5 and 6 Disclosed balance after: 51,358 Underlying: Common Stock · 51,358 shares Expires 2008-12-19 F9 · kind: The Equity Offering triggered the obligation of the Issuer to issue common stock purchase warrants (Exchange Note Warrants) to the holders of the 10% Exchange Notes, exercisable to purchase an amount of shares of the Issuer's Common Stock equal to 10% of the number of shares of Common Stock into which the 10% Exchange Notes were convertible at the time of their issuance, for a period of five years from their date of issuance, at an exercise price equal to 110% of the lesser of the conversion rate of the 10% Exchange Notes as of the date of their issuance, or the conversion rate of the 10% Exchange Notes as of the date of the issuance of the Exchange Note Warrants. Thus, the Issuer has issued to the US Fund, Exchange Note Warrants to purchase 44,296 shares of the Issuer's Common Stock, at an exercise price equal to $.87 per share; and to the Offshore Fund, Exchange Note Warrants to purchase 7,062 shares of the Issuer's Common Stock, at an exercise price equal to $.87 per share. F9 · price: The Equity Offering triggered the obligation of the Issuer to issue common stock purchase warrants (Exchange Note Warrants) to the holders of the 10% Exchange Notes, exercisable to purchase an amount of shares of the Issuer's Common Stock equal to 10% of the number of shares of Common Stock into which the 10% Exchange Notes were convertible at the time of their issuance, for a period of five years from their date of issuance, at an exercise price equal to 110% of the lesser of the conversion rate of the 10% Exchange Notes as of the date of their issuance, or the conversion rate of the 10% Exchange Notes as of the date of the issuance of the Exchange Note Warrants. Thus, the Issuer has issued to the US Fund, Exchange Note Warrants to purchase 44,296 shares of the Issuer's Common Stock, at an exercise price equal to $.87 per share; and to the Offshore Fund, Exchange Note Warrants to purchase 7,062 shares of the Issuer's Common Stock, at an exercise price equal to $.87 per share. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership fo the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. Read SEC document
December 19, 2003 Filed Dec 23, 2003 02:08 UTC	HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244	Conversion10% Additional Convertible Notes · Derivative	486,233	Not disclosed Strike: $1.10	Not disclosed	Disclosure SEC source: 0001024780-03-000004 · primary_doc.xml · derivative · entry 6 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes 3,4,5 and 6 Disclosed balance after: 0 Underlying: Common Stock · 486,233 shares Expires 2003-12-19 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. F8 · derivative.exercise_price: In accordance with the terms of the 10% Additional Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Additional Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Additional Convertible Notes (x) held by the US Fund was $461,046.30, and thus converted into 419,133 shares of restricted Common Stock and (y) held by the Offshore Fund was $73,810.19, and thus converted into 67,100 shares of restricted Common Stock. F8 · shares: In accordance with the terms of the 10% Additional Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Additional Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Additional Convertible Notes (x) held by the US Fund was $461,046.30, and thus converted into 419,133 shares of restricted Common Stock and (y) held by the Offshore Fund was $73,810.19, and thus converted into 67,100 shares of restricted Common Stock. F8 · price: In accordance with the terms of the 10% Additional Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Additional Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Additional Convertible Notes (x) held by the US Fund was $461,046.30, and thus converted into 419,133 shares of restricted Common Stock and (y) held by the Offshore Fund was $73,810.19, and thus converted into 67,100 shares of restricted Common Stock. F8 · derivative.exercise_date: In accordance with the terms of the 10% Additional Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Additional Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Additional Convertible Notes (x) held by the US Fund was $461,046.30, and thus converted into 419,133 shares of restricted Common Stock and (y) held by the Offshore Fund was $73,810.19, and thus converted into 67,100 shares of restricted Common Stock. F8 · derivative.expiration_date: In accordance with the terms of the 10% Additional Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Additional Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Additional Convertible Notes (x) held by the US Fund was $461,046.30, and thus converted into 419,133 shares of restricted Common Stock and (y) held by the Offshore Fund was $73,810.19, and thus converted into 67,100 shares of restricted Common Stock. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership fo the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. Read SEC document
December 19, 2003 Filed Dec 23, 2003 02:08 UTC	HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244	Conversion10% Convertible Notes · Derivative	351,467	Not disclosed Strike: $1.10	Not disclosed	Disclosure SEC source: 0001024780-03-000004 · primary_doc.xml · derivative · entry 5 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes 3,4,5 and 6 Disclosed balance after: 0 Underlying: Common Stock · 351,467 shares Expires 2003-12-19 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. F7 · derivative.exercise_price: In accordance with the terms of the 10% Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Convertible Notes (x) held by the US Fund was $333,592.64, and thus converted into 303,266 shares of restricted Common Stock and (y) held by the Offshore Fund was $53,021.34, and thus converted into 48,201 shares of restricted Common Stock. F7 · shares: In accordance with the terms of the 10% Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Convertible Notes (x) held by the US Fund was $333,592.64, and thus converted into 303,266 shares of restricted Common Stock and (y) held by the Offshore Fund was $53,021.34, and thus converted into 48,201 shares of restricted Common Stock. F7 · price: In accordance with the terms of the 10% Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Convertible Notes (x) held by the US Fund was $333,592.64, and thus converted into 303,266 shares of restricted Common Stock and (y) held by the Offshore Fund was $53,021.34, and thus converted into 48,201 shares of restricted Common Stock. F7 · derivative.exercise_date: In accordance with the terms of the 10% Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Convertible Notes (x) held by the US Fund was $333,592.64, and thus converted into 303,266 shares of restricted Common Stock and (y) held by the Offshore Fund was $53,021.34, and thus converted into 48,201 shares of restricted Common Stock. F7 · derivative.expiration_date: In accordance with the terms of the 10% Convertible Notes, the Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Convertible Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $1.10. As of 12/19/2003, the outstanding principal and interest on the 10% Convertible Notes (x) held by the US Fund was $333,592.64, and thus converted into 303,266 shares of restricted Common Stock and (y) held by the Offshore Fund was $53,021.34, and thus converted into 48,201 shares of restricted Common Stock. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership fo the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. Read SEC document
December 19, 2003 Filed Dec 23, 2003 02:08 UTC	HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244	Conversion10% Exchange Notes · Derivative	567,301	Not disclosed Strike: $0.79	Not disclosed	Disclosure SEC source: 0001024780-03-000004 · primary_doc.xml · derivative · entry 4 FLEMING US DISCOVERY FUND III LP · CIK 0001024780 · 10% owner FLEMING US DISCOVERY OFFSHORE FUND III L P · CIK 0001236298 · 10% owner FLEMING US DISCOVERY PARTNERS LP · CIK 0001271982 · 10% owner FLEMING US DISCOVERY LLC · CIK 0001271725 · 10% owner JPMP CAPITAL CORP · CIK 0001243236 · 10% owner J P MORGAN CHASE & CO · CIK 0000019617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes 3,4,5 and 6 Disclosed balance after: 0 Underlying: Common Stock · 567,301 shares Expires 2003-12-19 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 · derivative.exercise_price: The Issuer conducted a public offering of equity securities prior to 12/20/2003 for gross proceeds of not less than $2 million (Equity Offering). In accordance with the terms of the 10% Exchange Notes, such Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Exchange Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $.79. As of 12/19/2003, the outstanding principal and interest on the 10% Exchange Notes (x) held by Fleming US Discovery Fund III, L.P. (US Fund) was $386,544.69, and thus converted into 489,297 shares of restricted Common Stock and (y) held by Fleming US Discovery Offshore Fund III, L.P. (Offshore Fund) was $61,623.42, and thus converted into 78,004 shares of restricted Common Stock. F1 · shares: The Issuer conducted a public offering of equity securities prior to 12/20/2003 for gross proceeds of not less than $2 million (Equity Offering). In accordance with the terms of the 10% Exchange Notes, such Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Exchange Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $.79. As of 12/19/2003, the outstanding principal and interest on the 10% Exchange Notes (x) held by Fleming US Discovery Fund III, L.P. (US Fund) was $386,544.69, and thus converted into 489,297 shares of restricted Common Stock and (y) held by Fleming US Discovery Offshore Fund III, L.P. (Offshore Fund) was $61,623.42, and thus converted into 78,004 shares of restricted Common Stock. F1 · price: The Issuer conducted a public offering of equity securities prior to 12/20/2003 for gross proceeds of not less than $2 million (Equity Offering). In accordance with the terms of the 10% Exchange Notes, such Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Exchange Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $.79. As of 12/19/2003, the outstanding principal and interest on the 10% Exchange Notes (x) held by Fleming US Discovery Fund III, L.P. (US Fund) was $386,544.69, and thus converted into 489,297 shares of restricted Common Stock and (y) held by Fleming US Discovery Offshore Fund III, L.P. (Offshore Fund) was $61,623.42, and thus converted into 78,004 shares of restricted Common Stock. F1 · derivative.exercise_date: The Issuer conducted a public offering of equity securities prior to 12/20/2003 for gross proceeds of not less than $2 million (Equity Offering). In accordance with the terms of the 10% Exchange Notes, such Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Exchange Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $.79. As of 12/19/2003, the outstanding principal and interest on the 10% Exchange Notes (x) held by Fleming US Discovery Fund III, L.P. (US Fund) was $386,544.69, and thus converted into 489,297 shares of restricted Common Stock and (y) held by Fleming US Discovery Offshore Fund III, L.P. (Offshore Fund) was $61,623.42, and thus converted into 78,004 shares of restricted Common Stock. F1 · derivative.expiration_date: The Issuer conducted a public offering of equity securities prior to 12/20/2003 for gross proceeds of not less than $2 million (Equity Offering). In accordance with the terms of the 10% Exchange Notes, such Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Exchange Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $.79. As of 12/19/2003, the outstanding principal and interest on the 10% Exchange Notes (x) held by Fleming US Discovery Fund III, L.P. (US Fund) was $386,544.69, and thus converted into 489,297 shares of restricted Common Stock and (y) held by Fleming US Discovery Offshore Fund III, L.P. (Offshore Fund) was $61,623.42, and thus converted into 78,004 shares of restricted Common Stock. F2 · ownership.direct: The amounts shown represent the direct beneficial ownership fo the Issuer's equity securities by the US Fund and the Offshore Fund. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person'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.