organization · Reporting owner
JPMP CAPITAL LLC
Disclosed activity across 13 companies
Sign in to followReported 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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
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 | 2,560,225 |
Reported balance
After 2004-12-31 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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
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 |
|---|---|---|---|
| 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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
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
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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 1 · 2004-11-16 · Sale · Disposed 3,052 · Balance 706,518 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 19, 2003 Filed Dec 23, 2003 02:08 UTC | HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244 | ConversionCommon Stock | 486,233 | $1.10 | $534,856.30 |
DisclosureSEC source: 0001024780-03-000004 · primary_doc.xml · nonDerivative · 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 3,4,5 and 6 Disclosed balance after: 2,739,981 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 · 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. 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 | ConversionCommon Stock | 351,467 | $1.10 | $386,613.70 |
DisclosureSEC source: 0001024780-03-000004 · primary_doc.xml · nonDerivative · entry 2 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: 2,253,748 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: 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 | ConversionCommon Stock | 567,301 | $0.79 | $448,167.79 |
DisclosureSEC source: 0001024780-03-000004 · 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: 1,902,281 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 · 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. 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. 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 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 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 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 not 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 Offshroe Fund. The actual pro rata portion of such beneficial ownership that may 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. Read SEC document |
| December 08, 2003 Filed Dec 13, 2003 00:54 UTC | HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244 | PurchaseCommon Stock | 795,454 | $1.10 | $874,999.40 |
DisclosureSEC source: 0001024780-03-000003 · 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: 1,334,980 F1 · price: On December 8, 2003, in connection with the Issuer's public rights offering, (a) Fleming US Discovery Fund III, L.P. (US Fund) purchased 684,909 shares of Common Stock at the USD1.10 per share price, for an aggregate purchase price of USD753,400, and (b) Fleming US Discovery Offshore Fund III, L.P. (Offshore Fund) purchased 110,545 shares of Common Stock at the USD1.10 per share price, for an aggregate purchase price of USD121,600. 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 indirect beneficial ownership interests, (which are 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 · 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 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 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 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 Tables I and 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 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 |
| November 24, 2003 Filed Dec 4, 2003 02:09 UTC | HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244 | PurchaseCommon Stock | 539,526 | $1.10 | $593,478.60 |
DisclosureSEC source: 0001024780-03-000002 · 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: 539,526 F1 · price: On 11/24/2003, (a) Fleming US Discovery Fund III, L.P. (US Fund) purchased 464,978 shares of Common Stock in the Issuer's public rights offering at the $1.10 per share price, utilizing the remaining outstanding balance and all accrued interest in the amount of $511,475.42 on unsecured promissory notes held by the US Fund, following an offer by the Issuer to do so, and (b) Fleming US Discovery Offshore Fund III, L.P. (Offshore Fund) purchased 74,548 shares of Common Stock in the Issuer's public rights offering at the $1.10 per share price, utilizing the remaining outstanding balance and all accrued interest in the amount of $82,003.26 on unsecured promissory notes held by the Offshore Fund, following an offer by the Issuer to do so. 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 indirect beneficial ownership interests (as 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 · ownership.nature: The amount shown in Table I represents 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 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 the US Fund and the Offshore Fund. F4 · ownership.nature: The amount shown in Table I represents 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. F5 · ownership.nature: The amount shown in Table I represents 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 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. 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, but no pecuniary interest. F6 · ownership.nature: The amount shown in Table I represents 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. Read SEC document |
| November 10, 2003 Filed Dec 13, 2003 00:54 UTC | HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244 | OtherSeries A Convertible Preferred Stock · Derivative | 0 | Not disclosed Strike: $1.10 | Not disclosed |
DisclosureSEC source: 0001024780-03-000003 · 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 3, 4, 5 and 6. Disclosed balance after: 125,086 Underlying: Common Stock · 11,371,455 shares Expires 2004-03-31 F10 · 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 or any other event that would result in the adjustment of the conversion price of the Series A Preferred as set forth in the designation of the Series A Preferred in the Issuer's Certificate of Incorporation. F11 · kind: One such event would be the issuance or sale of additional shares of stock in exchange for consideration in an amount per additional share of stock less than the conversion price of the Series A Preferred in effect immediately prior to such issuance or sale of additional shares of stock. Thus, the issuance of shares of Common Stock on November 10, 2003, in connection with the Issuer's rights offering, at a price of USD1.10 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 USD2.375 per share to USD1.10 per share. As of the date hereof, the 125,086 shares of Series A Preferred are currently convertible at a conversion price of USD1.10 per share into 11,371,455 shares of Common Stock. F12 · kind: The foregoing calculation of the conversion of the Series A Preferred at USD1.10 per share reflects deemed beneficial ownership with respect to dispositive power. However, pursuant to Section 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) USD1.78. In accordance therewith, the conversion price is USD1.78 solely with respect to 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 USD1.78 per share into 7,027,303 shares of Common Stock. F16 · price: See Footnotes 10, 11 and 12. F13 · derivative.exercise_date: 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. F14 · derivative.expiration_date: See Footnote 7. F15 · derivative.underlying_shares: See Footnotes 10, 11 and 12. F17 · ownership.direct: See Footnote 2. Read SEC document |
| September 30, 2003 Filed Dec 13, 2003 00:54 UTC | HUDSON TECHNOLOGIES INC /NY hdsnc · Entity 6244 | OtherSeries A Convertible Preferred Stock · Derivative | 4,304 | Not disclosed Strike: $2.38 | Not disclosed |
DisclosureSEC source: 0001024780-03-000003 · primary_doc.xml · derivative · entry 2 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 · 181,221 shares Expires 2004-03-31 F8 · price: On September 30, 2003, the Issuer paid in kind the following dividends in the form of an aggregate of 4,304 shares of Series A Preferred, in accordance with the terms of the Series A Preferred (x) to the US Fund, 3,708 shares of Series A Preferred and (y) to the Offshore Fund, 596 shares of Series A Preferred. F7 · derivative.expiration_date: There is no expiration date for the conversion of the Series A Convertible Preferred Stock (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 of the Series A Preferred in the Issuer's Certificate of Incorporation) on March 31, 2004. F9 · ownership.direct: See Footnote 2. 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.