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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 | ||||||||
Series C Convertible Preferred Stock | (1) | 06/05/2007 | C | 396,825 | 08/16/2005 | (1) | Common Stock | 396,825 | $ 0 | 0 | I | By Quaker Bioventures, L.P. (2) | |||
Series C Convertible Preferred Stock | (1) | 06/05/2007 | C | 132,275 | 08/16/2005 | (1) | Common Stock | 132,275 | $ 0 | 0 | D | ||||
Series C Convertible Preferred Stock | (1) | 06/05/2007 | C | 396,825 | 04/17/2006 | (1) | Common Stock | 396,825 | $ 0 | 0 | I | By Quaker Bioventures, L.P. (2) | |||
Series C Convertible Preferred Stock | (1) | 06/05/2007 | C | 132,275 | 04/17/2006 | (1) | Common Stock | 132,275 | $ 0 | 0 | D | ||||
Series D Convertible Preferred Stock | (1) | 06/05/2007 | C | 135,586 | 09/13/2006 | (1) | Common Stock | 135,586 | $ 0 | 0 | I | By Quaker Bioventures, L.P. (2) | |||
Series D Convertible Preferred Stock | (1) | 06/05/2007 | C | 45,195 | 09/13/2006 | (1) | Common Stock | 45,195 | $ 0 | 0 | D | ||||
Series D Convertible Preferred Stock | (1) | 06/05/2007 | C | 135,586 | 03/09/2007 | (1) | Common Stock | 135,586 | $ 0 | 0 | I | By Quaker Bioventures, L.P. (2) | |||
Series D Convertible Preferred Stock | (1) | 06/05/2007 | C | 45,195 | 03/09/2007 | (1) | Common Stock | 45,195 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Garden State Life Sciences Venture Fund L P C/O QUAKER BIOVENTURES 2929 ARCH STREET, CIRA CENTRE PHILADELPHIA, PA 19104 |
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Garden State Life Sciences Venture Fund, L.P., By: Quaker BioVentures Capital, L.P., its General Partner, By: Quaker BioVentures Capital LLC, its General Partner, By: /s/ Richard S. Kollender | 06/06/2007 | |
**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) | Each of the Series C Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted into Amicus Therapeutics, Inc. common stock on a one for one basis upon the closing of Amicus Therapeutics, Inc's initial public offering on June 5, 2007. |
(2) | These shares are owned by Quaker BioVentures, L.P., which is under common control with Garden State Life Sciences Venture Fund L.P. Quaker BioVentures Capital, L.P. serves as the general partner of Quaker BioVentures, L.P. and Garden State Life Sciences Venture Fund L.P. and is the indirect beneficial owner of these shares. Quaker Bioventures Capital LLC serves as the general partner of Quaker Bioventures Capital, L.P. and is also an indirect beneficial owner of these shares. Garden State Life Sciences Venture Fund L.P. disclaims beneficial ownership of these shares except to the extent of its proportionate pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the shares for purposes of section 16 of for any other purpose. |