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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) | $ 0.34 | 05/08/2003 | 05/08/2010 | Common Stock | 345,000 | 345,000 | I | By subsidiary (1) | |||||||
Common Stock Warrants (right to buy) | $ 0.34 | 08/20/2007 | P | 8,333,333 | 08/20/2007 | 08/20/2014 | Common Stock | 8,333,333 | (2) | 8,678,333 | I | By subsidiary (3) | |||
Common Stock Warrants (right to buy) | $ 0.34 | 08/20/2007 | P | 9,531,481 | 08/20/2007 | 08/20/2014 | Common Stock | 9,531,481 | (4) | 18,209,814 | I | By subsidiary (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ESSEX WOODLANDS HEALTH VENTURES FUND V LLC 21 WATERWAY AVENUE, SUITE 225 THE WOODLANDS, TX 77380 |
X | |||
ESSEX WOODLANDS HEALTH VENTURES FUND V LP 21 WATERWAY AVENUE, SUITE 225 THE WOODLANDS, TX 77380 |
X |
/s/ Dennis Peterson, Attorney-in-fact | 08/22/2007 | |
**Signature of Reporting Person | Date | |
/s/ Dennis Peterson, Attorney-in-fact for Essex Woodlands Health Ventures Fund V, LLC, its general partner | 08/22/2007 | |
**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) | The Reporting Person, as general partner of Essex Woodlands Health Ventures Fund V, L.P., the direct owner of the reported securities, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
(2) | The reported securities are included within 8,333,333 Units of Acura Pharmaceuticals, Inc. purchased by GCE Holdings LLC for $1.08 per Unit. |
(3) | The Reporting Person, as general partner of Essex Woodlands Health Ventures Fund V, L.P., which is a member of GCE Holdings LLC, the direct owner of the reported securities, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
(4) | The reported securities are included within 9,531,481 Units of Acura Pharmaceuticals, Inc. received by GCE Holdings LLC in satisfaction of the outstanding aggregate of $10.294 million in principal amount under Acura Pharmaceuticals, Inc.'s outstanding bridge loan indebtedness. |