FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
HEALTHCARE ACQUISITION CORP [ PIP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/03/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 08/07/2007 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 08/03/2007 | J(1) | 3,239,443(1) | A | (1) | 3,364,443 | I | See Footnote(2) | ||
Common Stock | 08/07/2007 | P | 125,000(3) | A | $7.7 | 3,489,443 | I | See Footnote(4) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: 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 | ||||||||
8% Convertible Note | $10 | 08/03/2007 | J(5) | $4,709,553.61 | (6) | 08/03/2009 | Common Stock | 470,953 | (5) | $4,709,553.61 | I | See Footnote(7) | |||
Stock Option (Right to Buy) | $4.22 | 08/03/2007 | A | 1,104 | (8) | 01/18/2016 | Common Stock | 1,104 | $0 | 1,104 | I | See Footnote(9) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. The shares were received in exchange for an aggregate of 17,933,960 shares of Series B and Series C Convertible Preferred Stock of PharmAthene, Inc. in connection with the acquisition of PharmAthene, Inc. through the merger of the Issuer's subsidiary into PharmAthene, Inc. (the "Merger"). The shares were received as follows: 2,686,710 by MPM BioVentures III-QP, L.P. ("BV III QP"), 180,663 by MPM BioVentures III, L.P. ("BV III"), 63,871 by MPM Asset Management Investors 2004 BVIII LLC ("AM 2004"), 81,147 by MPM BioVentures III Parallel Fund, L.P. ("BV Parallel") and 227,052 by MPM BioVentures III GmbH & Co. Beteiligungs KG ("BV KG"). MPM BioVentures III GP, L.P. ("MPM III GP") and MPM BioVentures III LLC ("MPM III LLC") are the direct and indirect general partners of BV III QP, BV III and BV Parallel and BV KG. Luke Evnin, Ansbert Gadicke, Nicholas Galakatos, Dennis Henner, Nicholas Simon III, Michael Steinmetz and Kurt Wheeler are the members of MPM III LLC and AM 2004. Each member of the group disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein. |
2. The shares are held as follows: 2,790,382 by BV III QP, 187,634 by BV III, 66,336 by AM 2004, 84,278 by BV Parallel and 235,813 by BV KG. Each member of the group disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein. |
3. The shares were purchased as follows: 103,672 by BV III QP, 6,971 by BV III, 2,465 by AM 2004, 3,131 by BV Parallel and 8,761 by BV KG. Each member of the group disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein. |
4. The shares are held as follows: 2,894,054 by BV III QP, 194,605 by BV III, 68,801 by AM 2004, 87,409 by BV Parallel and 244,574 by BV KG. Each member of the group disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein. |
5. The notes were received in the Merger in cancellation of convertible promissory notes of PharmAthene, Inc. in the aggregate principal amount of $4,425,867.53, plus accrued interest thereon. |
6. Immediately convertible into shares of Common Stock of the Issuer at the rate of $10.00 per share. |
7. The notes are held as follows: $3,905,976.55 by BV III QP, $262,651.82 by BV III, $92,858.30 by AM 2004, $117,974.13 by BV Parallel and $330,092.81 by BV KG. Each member of the group disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein. |
8. 25% of the shares underlying the option shall vest each year commencing on the first anniversary of January 18, 2006. |
9. The option is held by Ansbert Gadicke. |
Remarks: |
See Form 4/A for MPM BioVentures III-QP, L.P. filed simultaneously herewith for additional members of this joint filing. This amendment is being filed to reflect the additional shares issued pursuant to a post-closing adjustment in connection with the Merger. This information was not available at the time of the original filing. |
/s/ Luke Evnin | 10/03/2007 | |
/s/ Nicholas Galakatos | 10/03/2007 | |
/s/ Dennis Henner | 10/03/2007 | |
/s/ Michael Steinmetz | 10/03/2007 | |
/s/ Ansbert Gadicke | 10/03/2007 | |
/s/ Kurt Wheeler | 10/03/2007 | |
/s/ Nicholas J. Simon, III | 10/03/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |