11/05/2024 | Press release | Distributed by Public on 11/05/2024 16:49
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Valor IV Pharma Holdings, LLC 320 N. SANGAMON SUITE 1200 CHICAGO, IL 60607 |
X | |||
Valor Management L.P. 320 N. SANGAMON SUITE 1200 CHICAGO, IL 60611 |
X | |||
Valor Equity Capital IV LLC 320 N. SANGAMON SUITE 1200 CHICAGO, IL 60611 |
X | |||
Valor Equity Associates IV L.P. 320 N. SANGAMON SUITE 1200 CHICAGO, IL 60611 |
X | |||
VALOR EQUITY PARTNERS IV L.P. 320 N. SANGAMON SUITE 1200 CHICAGO, IL 60611 |
X | |||
VALOR EQUITY PARTNERS IV-A L.P. 320 N. SANGAMON SUITE 1200 CHICAGO, IL 60611 |
X | |||
VALOR EQUITY PARTNERS IV-B L.P. 320 N. SANGAMON SUITE 1200 CHICAGO, IL 60611 |
X | |||
Gracias Antonio J. C/O HARMONY BIOSCIENCES HOLDINGS, INC. 630 W GERMANTOWN PIKE, SUITE 215 PLYMOUTH MEETING, PA 19462 |
X | X | ||
Sabater Juan A. 630 W. GERMANTOWN PIKE SUITE 215 PLYMOUTH MEETING, PA 19462 |
X | X |
Valor IV Pharma Holdings, LLC By: /s/Antonio Gracias, Sole Manager | 11/05/2024 |
**Signature of Reporting Person | Date |
Valor Management L.P. By: /s/Antonio Gracias, CEO | 11/05/2024 |
**Signature of Reporting Person | Date |
Valor Equity Capital IV LLC By: Valor Management L.P., its managing member By: /s/Antonio Gracias, CEO | 11/05/2024 |
**Signature of Reporting Person | Date |
Valor Equity Associates IV L.P., By: Valor Equity Capital IV LLC, its general partner, By: Valor Management L.P., its managing member, By: /s/ Antonio Gracias, CEO | 11/05/2024 |
**Signature of Reporting Person | Date |
Valor Equity Partners IV, L.P., By: Valor Equity Associates IV L.P., By: Valor Equity Capital IV LLC, its general partner, By: Valor Management L.P., its managing member, By: /s/ Antonio Gracias, CEO | 11/05/2024 |
**Signature of Reporting Person | Date |
Valor Equity Partners IV-A, L.P., By: Valor Equity Associates IV L.P., By: Valor Equity Capital IV LLC, its general partner, By: Valor Management L.P., its managing member, By: /s/ Antonio Gracias, CEO | 11/05/2024 |
**Signature of Reporting Person | Date |
Valor Equity Partners IV-B, L.P., By: Valor Equity Associates IV L.P., By: Valor Equity Capital IV LLC, its general partner, By: Valor Management L.P., its managing member, By: /s/ Antonio Gracias, CEO | 11/05/2024 |
**Signature of Reporting Person | Date |
/s/ Antonio Gracias | 11/05/2024 |
**Signature of Reporting Person | Date |
/s/ Juan A. Sabater | 11/05/2024 |
**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). |
Remarks: Valor IV Pharma Holdings, LLC is the holder of record of the shares reported herein. Valor Funds Group LLC is the general partner of Valor Management L.P., which is the managing member of Valor Equity Capital IV LLC, which is the general partner of Valor Equity Associates IV L.P., which, in turn, is the general partner of limited partnerships (Valor Equity Partners IV L.P, Valor Equity Partners IV-A L.P. and Valor Equity Partners IV-B L.P.) that are the members of Valor IV Pharma Holdings, LLC. Antonio Gracias and Juan Sabater, each of whom is a director of the Issuer, may each be deemed to share beneficial ownership over the shares of the Issuer held by Valor IV Pharma Holdings, LLC by virtue of their positions with the above Valor entities; however, each disclaims beneficial ownership of the shares held by Valor IV Pharma Holdings, LLC |