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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PFIZER INC 235 E 42ND ST NEW YORK, NY 10017 |
X | X | ||
C.P. Pharmaceuticals International C.V. C/O ITS GENERAL PARTNERS 235 E. 42ND ST NEW YORK, NY 10017 |
X | |||
Pfizer Production LLC 235 EAST 42ND STREET NEW YORK, NY 10017 |
X | |||
Pfizer Manufacturing LLC 235 EAST 42ND STREET NEW YORK, NY 10017 |
X |
Pfizer Inc., By /s/Susan Grant, Asst. Secretary | 08/15/2018 | |
**Signature of Reporting Person | Date | |
Pfizer Production LLC, acting in its capacity as general partner of C.P. Pharmaceuticals International C.V. By /s/ Brian McMahon, Senior Vice President | 08/15/2018 | |
**Signature of Reporting Person | Date | |
Pfizer Manufacturing LLC, acting in its capacity as general partner of C.P. Pharmaceuticals International C.V. By /s/ Colum Lane, Senior Vice President | 08/15/2018 | |
**Signature of Reporting Person | Date | |
Pfizer Production LLC, By /s/Darren Welsh, Secretary | 08/15/2018 | |
**Signature of Reporting Person | Date | |
Pfizer Manufacturing LLC, By /s/Darren Welsh, Secretary | 08/15/2018 | |
**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) | These shares are owned directly by C.P. Pharmaceuticals International C.V. ("CPPI"), whose general partners are Pfizer Production LLC ("PPL") and Pfizer Manufacturing LLC ("PPM"). CPPI, PPL and PPM are indirect wholly-owned subsidiaries of Pfizer Inc. ("Pfizer"). Pfizer, PPL and PPM are indirect beneficial owners of the shares, but each of PPL and PML, as a general partner of CPPI, disclaims ownership of securities held by CPPI except to the extent of any pecuniary interest therein. |