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COLLEGIUM PHARMACEUTICAL, INC — Director's Dealing 2015
May 14, 2015
32163_dirs_2015-05-14_053acf22-65e2-4266-bca2-694d32bd2c48.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: COLLEGIUM PHARMACEUTICAL, INC (COLL)
CIK: 0001267565
Period of Report: 2015-05-12
Reporting Person: Heron Patrick J (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-05-12 | Common Stock | C | 582490 | — | Acquired | 582490 | Indirect |
| 2015-05-12 | Common Stock | C | 222231 | — | Acquired | 804721 | Indirect |
| 2015-05-12 | Common Stock | C | 392113 | — | Acquired | 1196834 | Indirect |
| 2015-05-12 | Common Stock | C | 540498 | — | Acquired | 1737332 | Indirect |
| 2015-05-12 | Common Stock | P | 150000 | $12.00 | Acquired | 1887332 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-05-12 | Series A Convertible Stock | $ | C | 4019183 | Disposed | Common Stock (582490) | Indirect | |
| 2015-05-12 | Series B Convertible Stock | $ | C | 1533399 | Disposed | Common Stock (222231) | Indirect | |
| 2015-05-12 | Series C Convertible Stock | $ | C | 2705585 | Disposed | Common Stock (392113) | Indirect | |
| 2015-05-12 | Series D Convertible Stock | $ | C | 3676078 | Disposed | Common Stock (540498) | Indirect |
Footnotes
F1: All series of Convertible Preferred Stock automatically converted into Collegium Pharmaceutical, Inc. common stock on a 1-for-6.9 basis immediately prior to the closing of the initial public offering and had no expiration date.
F2: Reflects the conversion of preferred stock into Collegium Pharmaceutical, Inc. common stock on a 1-for-6.9 basis which became effective on May 12, 2015.
F3: The shares are held by Frazier Healthcare VI, L.P. The general partner of Frazier Healthcare VI, L.P. is FHM VI, L.P., a limited partnership, the general partner of which is FHM VI, LLC. The members of FHM VI, LLC are Dr. Nathan Every, Alan Frazier, Nader Naini, Patrick Heron, and Dr. James Topper. These individuals share voting and investment power over the shares held by Frazier Healthcare VI, L.P. Mr. Heron disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.