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HARROW, INC. — Director's Dealing 2012
Jul 21, 2012
31774_dirs_2012-07-20_eb0702a8-0ce9-4ff7-b4b6-08684ffbdcb3.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Imprimis Pharmaceuticals, Inc. (IMMY)
CIK: 0001360214
Period of Report: 2012-06-29
Reporting Person: DERMASTAR INTERNATIONAL, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-06-29 | Common Stock | C | 7498500 | — | Acquired | 15738545 | Direct |
| 2012-07-12 | Common Stock | J | 15738545 | — | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-07-12 | Series A Convertible Preferred Stock | $0.0013 | C | 10 | Disposed | Common Stock (7498500) | Direct | |
| 2012-07-12 | Warrants (Right to Buy) | $1.185 | J | 241308 | Disposed | 2015-04-29 | Common Stock (241308) | Direct |
Footnotes
F1: The reporting person was the direct beneficial owner of such shares of the Issuer's capital stock, prior to its distribution of such shares to its members on July 12, 2012 pursuant to the terms of its operating agreement. Mr. Mark L. Baum and Mr. Robert J. Kammer are the managing members of the reporting person and each holds an ownership interest in the reporting person, and as managing members of the reporting person may be deemed to have voting and dispositive power over the shares of the Issuer's capital stock owned by the reporting person. Both Mr. Baum and Dr. Kammer disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interest therein.
F2: Issued upon conversion of ten (10) shares of Series A Convertible Preferred Stock of the Issuer at the election of the reporting person and in consideration of the Issuer's payment of an aggregate amount of $200,000 to induce such conversion, pursuant to the terms of a conversion agreement between the reporting person and the Issuer dated as of June 29, 2012.
F3: Shares of Common Stock distributed to the members of the reporting person on July 12, 2012, and to certain additional individuals.
F4: Each share of Series A Convertible Preferred Stock of the Issuer is convertible into shares of the Common Stock of the Issuer at any time at the option of the holder, and accordingly such shares do not have an expiration date.
F5: Distributed to the members of the reporting person on July 12, 2012.