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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Warrants (right to buy) | $ 3.4 | 10/01/2012 | J(1) | 502,901 | 08/20/2007 | 08/20/2014 | Common Stock | 502,901 | $ 0 | 512,901 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ESSEX WOODLANDS HEALTH VENTURES FUND V LP 21 WATERWAY AVENUE, SUITE 225 WOODLANDS, TX 77380 |
X |
By:Essex Woodlands Health Ventures V, L.P., General Partner, By: Essex Woodlands Health Ventures V, LLC, General Partner to the General Partner, By: Martin P. Sutter, Manager | 10/01/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 1. On November 3, 2005, Galen Partners III, LP, et al ("Galen"), Care Capital Investments II, L.P., et al ("Care Capital"), and Essex Woodlands Health Ventures V, L.P. ("Essex") entered into an Operating Agreement, whereby each of such entities contributed all shares owned by each of such entities in Acura Pharmaceuticals, Inc. ("Acura") to GCE Holdings LLC ("GCE"). The members of GCE dissolved GCE effective October 1, 2012, with the result that all remaining shares of Acura and warrants to purchase shares of Acura held by GCE were distributed to the members. The number of shares of common stock and warrants to purchase shares of common stock of Acura represented on this Form 4 as being acquired by Essex represents the shares of common stock and warrants to purchase shares of common stock of Acura received by Essex from such distribution. |