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JPMP CAPITAL LLC

Disclosed activity across 13 companies

Tapewire entity
13656
SEC CIK
0001243236

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
1 800 FLOWERS COM INCFLWS · Entity 623710% ownerDecember 10, 2004January 11, 2005
ANESIVA, INC.ANSV · Entity 1365210% ownerJune 22, 2006June 26, 2006
BARRIER THERAPEUTICS INCBTRX · Entity 1392710% ownerDecember 30, 2004January 04, 2005
BILL BARRETT CORPBBG · Entity 1382810% ownerDecember 15, 2004December 27, 2004
EYETECH PHARMACEUTICALS INCEYET · Entity 1399210% ownerOctober 28, 2004October 29, 2004
HUDSON TECHNOLOGIES INC /NYhdsnc · Entity 624410% ownerMarch 31, 2004April 02, 2004
PortalPlayer, Inc.PLAY · Entity 1395510% ownerDecember 31, 2004January 04, 2005
SANTARUS INCSNTS · Entity 1385610% ownerJune 09, 2005June 13, 2005
Seagen Inc.SGEN · Entity 1395610% ownerDecember 30, 2004January 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $8.78 · Expires 2014-12-10IndirectFootnote10,000 Reported balance After 2004-12-10 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2004-12-10 · Grant · Acquired 10,000 · Balance 10,000

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

F1: These stock options are immediately exercisable.

Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.65 · Expires 2010-12-06IndirectFootnote25,000 Reported balance Holding disclosure · report date 2004-12-10 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance 25,000

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

F1: These stock options are immediately exercisable.

Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $14.34 · Expires 2011-12-04IndirectFootnote5,000 Reported balance Holding disclosure · report date 2004-12-10 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance 5,000

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

F1: These stock options are immediately exercisable.

Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $11.81 · Expires 2013-12-02IndirectFootnote5,000 Reported balance Holding disclosure · report date 2004-12-10 · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · Balance 5,000

F1: These stock options are immediately exercisable.

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

Class A Common StockSEC Table I · non-derivativeDirect3,208,240 Reported balance Holding disclosure · report date 2004-12-10 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 3,208,240

Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $10.46 · Expires 2012-12-04Direct5,000 Reported balance Holding disclosure · report date 2004-12-10 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance 5,000

F1: These stock options are immediately exercisable.

Filing footnotes · ownership attribution and instrument terms

F1: These stock options are immediately exercisable.

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.87 · Expires 2016-06-22IndirectSee footnote10,000 Reported balance After 2006-06-22 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2006-06-22 · Grant · Acquired 10,000 · Balance 10,000

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

Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2012-12-03IndirectSee footnote10,000 Reported balance Holding disclosure · report date 2006-06-22 · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · Balance 10,000

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

Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.44 · Expires 2015-06-07IndirectSee footnote2,500 Reported balance Holding disclosure · report date 2006-06-22 · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · Balance 2,500

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

Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.80 · Expires 2015-12-16IndirectSee footnote50,000 Reported balance Holding disclosure · report date 2006-06-22 · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · Balance 50,000

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

Common StockSEC Table I · non-derivativeDirect2,886,121 Reported balance Holding disclosure · report date 2006-06-22 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,886,121

Common StockSEC Table I · non-derivativeIndirectSee footnote234,689 Reported balance Holding disclosure · report date 2006-06-22 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 234,689

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

Common StockSEC Table I · non-derivativeIndirectSee footnote35,134 Reported balance Holding disclosure · report date 2006-06-22 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 35,134

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

Common StockSEC Table I · non-derivativeIndirectSee footnote118,118 Reported balance Holding disclosure · report date 2006-06-22 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 118,118

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

Common StockSEC Table I · non-derivativeIndirectSee footnote13,198 Reported balance Holding disclosure · report date 2006-06-22 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 13,198

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

Common StockSEC Table I · non-derivativeIndirectSee footnote81,769 Reported balance Holding disclosure · report date 2006-06-22 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 81,769

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

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

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

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,323,666 Reported balance After 2004-12-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-12-30 · Sale · Disposed 147,134 · Balance 2,323,666

Common StockSEC Table I · non-derivativeIndirectSee footnote147,134 Reported balance After 2004-12-30 transaction · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · 2004-12-30 · Purchase · Acquired 147,134 · Balance 147,134

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

Common StockSEC Table I · non-derivativeIndirectSee footnote397,975 Reported balance Holding disclosure · report date 2004-12-30 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 397,975

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

Common StockSEC Table I · non-derivativeIndirectSee footnote201,635 Reported balance Holding disclosure · report date 2004-12-30 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 201,635

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

Common StockSEC Table I · non-derivativeIndirectSee footnote55,380 Reported balance Holding disclosure · report date 2004-12-30 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 55,380

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

Common StockSEC Table I · non-derivativeIndirectSee footnote22,483 Reported balance Holding disclosure · report date 2004-12-30 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 22,483

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect3,382,856 Reported balance Holding disclosure · report date 2004-12-15 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 3,382,856

Common StockSEC Table I · non-derivativeIndirectSee footnote578,471 Reported balance Holding disclosure · report date 2004-12-15 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 578,471

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

Common StockSEC Table I · non-derivativeIndirectSee footnote251,691 Reported balance Holding disclosure · report date 2004-12-15 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 251,691

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

Common StockSEC Table I · non-derivativeIndirectSee footnote32,660 Reported balance Holding disclosure · report date 2004-12-15 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 32,660

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

Common StockSEC Table I · non-derivativeIndirectSee footnote101,211 Reported balance Holding disclosure · report date 2004-12-15 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 101,211

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

Common StockSEC Table I · non-derivativeIndirectSee footnote41,095 Reported balance Holding disclosure · report date 2004-12-15 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 41,095

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

Common StockSEC Table I · non-derivativeIndirectSee footnote81,424 Reported balance Holding disclosure · report date 2004-12-15 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 81,424

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

Common StockSEC Table I · non-derivativeIndirectSee footnote112,992 Reported balance Holding disclosure · report date 2004-12-15 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 112,992

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

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

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

EYETECH PHARMACEUTICALS INC

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,240,896 Reported balance After 2004-10-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-10-28 · Sale · Disposed 1,000,000 · Balance 2,240,896

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.44 · Expires 2012-12-03IndirectSee Footnote60,000 Reported balance Holding disclosure · report date 2004-10-28 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance 60,000

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

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $34.34 · Expires 2014-05-12IndirectSee Footnote20,000 Reported balance Holding disclosure · report date 2004-10-28 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance 20,000

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

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

Filing footnotes · ownership attribution and instrument terms

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes19,137,449 Reported balance After 2004-03-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-03-31 · Conversion · Acquired 16,397,468 · Balance 19,137,449

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

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

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

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

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

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.79IndirectSee footnotes129,540 Reported balance After 2004-03-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2004-03-31 · Other · Acquired 4,454 · Balance 129,540

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

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

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

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

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

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

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

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

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.79IndirectSee footnotes0 Reported balance After 2004-03-31 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2004-03-31 · Conversion · Disposed 129,540 · Balance 0

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

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

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

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

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

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

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

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

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,560,225 Reported balance After 2004-12-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-12-31 · Sale · Disposed 86,322 · Balance 2,560,225

Common StockSEC Table I · non-derivativeIndirectSee footnote86,322 Reported balance After 2004-12-31 transaction · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · 2004-12-31 · Purchase · Acquired 86,322 · Balance 86,322

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

Common StockSEC Table I · non-derivativeIndirectSee footnote229,704 Reported balance Holding disclosure · report date 2004-12-31 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 229,704

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

Common StockSEC Table I · non-derivativeIndirectSee footnote31,313 Reported balance Holding disclosure · report date 2004-12-31 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 31,313

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

Common StockSEC Table I · non-derivativeIndirectSee footnote116,587 Reported balance Holding disclosure · report date 2004-12-31 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 116,587

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

Common StockSEC Table I · non-derivativeIndirectSee footnote12,992 Reported balance Holding disclosure · report date 2004-12-31 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 12,992

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2005-06-09IndirectSee footnote17,500 Reported balance After 2005-06-09 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2005-06-09 · Grant · Acquired 17,500 · Balance 17,500

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

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

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.05 · Expires 2011-12-18IndirectSee footnote4,285 Reported balance Holding disclosure · report date 2005-06-09 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance 4,285

F3: These options are fully vested.

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

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.23 · Expires 2013-07-30IndirectSee footnote4,285 Reported balance Holding disclosure · report date 2005-06-09 · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · Balance 4,285

F3: These options are fully vested.

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

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2013-12-03IndirectSee footnote10,000 Reported balance Holding disclosure · report date 2005-06-09 · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · Balance 10,000

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

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.00 · Expires 2014-04-01IndirectSee footnote25,000 Reported balance Holding disclosure · report date 2005-06-09 · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · Balance 25,000

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

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2014-07-27IndirectSee footnote17,500 Reported balance Holding disclosure · report date 2005-06-09 · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · Balance 17,500

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

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

Common StockSEC Table I · non-derivativeDirect2,400,206 Reported balance Holding disclosure · report date 2005-06-09 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,400,206

Common StockSEC Table I · non-derivativeIndirectSee footnote241,479 Reported balance Holding disclosure · report date 2005-06-09 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 241,479

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

Common StockSEC Table I · non-derivativeIndirectSee footnote151,982 Reported balance Holding disclosure · report date 2005-06-09 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 151,982

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

Filing footnotes · ownership attribution and instrument terms

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

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

F3: These options are fully vested.

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

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31Direct601,925 Reported balance After 2004-12-30 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2004-12-30 · Sale · Disposed 38,114 · Balance 601,925

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31IndirectSee footnote381,140 Reported balance After 2004-12-30 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2004-12-30 · Purchase · Acquired 38,114 · Balance 381,140

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

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31IndirectSee footnote101,421 Reported balance Holding disclosure · report date 2004-12-30 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance 101,421

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

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31IndirectSee footnote13,826 Reported balance Holding disclosure · report date 2004-12-30 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance 13,826

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

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31IndirectSee footnote51,478 Reported balance Holding disclosure · report date 2004-12-30 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance 51,478

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

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31IndirectSee footnote5,736 Reported balance Holding disclosure · report date 2004-12-30 · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · Balance 5,736

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

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50Direct4,815,400 Reported balance After 2004-12-30 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2004-12-30 · Sale · Disposed 30,491 · Balance 4,815,400

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

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

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50IndirectSee footnote304,910 Reported balance After 2004-12-30 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2004-12-30 · Purchase · Acquired 30,491 · Balance 304,910

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

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

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

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50IndirectSee footnote811,370 Reported balance Holding disclosure · report date 2004-12-30 · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · Balance 811,370

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

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

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

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50IndirectSee footnote110,610 Reported balance Holding disclosure · report date 2004-12-30 · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · Balance 110,610

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

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

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

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50IndirectSee footnote411,820 Reported balance Holding disclosure · report date 2004-12-30 · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · Balance 411,820

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

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

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

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50IndirectSee footnote45,890 Reported balance Holding disclosure · report date 2004-12-30 · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · Balance 45,890

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

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

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

Stock Options (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.26 · Expires 2014-05-16IndirectSee footnote10,000 Reported balance Holding disclosure · report date 2004-12-30 · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · Balance 10,000

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

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

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

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

Past disclosures · reporting ended (4)

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

HOME PRODUCTS INTERNATIONAL INC

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

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2004-12-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-12-13 · Sale · Disposed 1,274,472 · Balance 0

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes263,839 Reported balance After 2004-05-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-05-05 · Other · Disposed 5,922,398 · Balance 263,839

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

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

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

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

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

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,029,178 Reported balance After 2004-12-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-12-15 · Sale · Disposed 344,730 · Balance 1,029,178

Common StockSEC Table I · non-derivativeIndirectSee footnote16,135 Reported balance After 2004-12-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2004-12-15 · Sale · Disposed 5,092 · Balance 16,135

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

Common StockSEC Table I · non-derivativeIndirectSee footnote8,101 Reported balance After 2004-12-15 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2004-12-15 · Sale · Disposed 2,556 · Balance 8,101

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

Common StockSEC Table I · non-derivativeIndirectSee footnote2,479 Reported balance After 2004-12-15 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2004-12-15 · Sale · Disposed 782 · Balance 2,479

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

Common StockSEC Table I · non-derivativeIndirectSee footnote905 Reported balance After 2004-12-15 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2004-12-15 · Sale · Disposed 285 · Balance 905

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

Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.82 · Expires 2011-01-01IndirectSee footnote2,000 Reported balance Holding disclosure · report date 2004-12-15 · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · Balance 2,000

F5: These options are immediately exercisable.

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

Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $4.85 · Expires 2013-03-12IndirectSee footnote2,000 Reported balance Holding disclosure · report date 2004-12-15 · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · Balance 2,000

F5: These options are immediately exercisable.

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

F5: These options are immediately exercisable.

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

Steel Connect LLC

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

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

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, .01 par valueSEC Table I · non-derivativeDirect706,518 Reported balance After 2004-11-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2004-11-16 · Sale · Disposed 3,052 · Balance 706,518

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.