- Amended Statement of Beneficial Ownership (SC 13D/A)
September 27 2010 - 5:13PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D/A
(AMENDMENT NO. 16)
(RULE 13D-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)
The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 or otherwise subject to the liabilities of that section of the Act but
shall be subject to all other provisions of the Act (however, see the Notes).
PENWEST PHARMACEUTICALS CO.
(Name of Issuer)
COMMON STOCK, PAR VALUE $0.001
(TITLE OF CLASS OF SECURITIES)
709754105
(CUSIP NUMBER)
JOSEPH EDELMAN, 499 PARK AVENUE, 25TH FLOOR, NEW YORK, NY 10022,
(646) 205-5300
(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO
RECEIVE NOTICE AND COMMUNICATIONS)
SEPTEMBER 20, 2010
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D/A, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following
box. [ ]
Note: Schedules filed in paper format shall include a signed original and five
copies of the Schedule, including all exhibits. See Rule 13d-7(b) for other
parties to whom copies are to be sent.
(1) The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP No. 709754105
13D/A Page 2 of 5 Pages
--------- ----------------------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
PERCEPTIVE ADVISORS LLC
--------- ----------------------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A GROUP* (a)[X]
(b)
--------- ----------------------------------------------------------------------------------------------
3. SEC USE ONLY
--------- ----------------------------------------------------------------------------------------------
4. SOURCES OF FUNDS
OO (Funds from Investment Advisory Clients).
--------- ----------------------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
--------- ----------------------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
------------------- ---- -------------------------------------------------------------------------------
NUMBER OF
SHARES 7. SOLE VOTING POWER
---- -------------------------------------------------------------------------------
BENEFICIALLY
OWNED BY 8. SHARED VOTING POWER 0
---- -------------------------------------------------------------------------------
EACH
REPORTING 9. SOLE DISPOSITIVE POWER
---- -------------------------------------------------------------------------------
PERSON WITH
10. SHARED DISPOSITIVE POWER 0
---- -------------------------------------------------------------------------------
--------- ----------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0
--------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
--------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 0%
--------- ----------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IA
--------- ----------------------------------------------------------------------------------------------
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13D/A Page 3 of 5 Pages
CUSIP No. 709754105
--------- ----------------------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
JOSEPH EDELMAN
--------- ----------------------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A GROUP* (a)[X]
(b)
--------- ----------------------------------------------------------------------------------------------
3. SEC USE ONLY
--------- ----------------------------------------------------------------------------------------------
4. SOURCES OF FUNDS
OO
--------- ----------------------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
--------- ----------------------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES OF AMERICA
--------- ----------------------------------------------------------------------------------------------
------------------- ---- -------------------------------------------------------------------------------
NUMBER OF
SHARES 7. SOLE VOTING POWER 0
---- -------------------------------------------------------------------------------
BENEFICIALLY
OWNED BY 8. SHARED VOTING POWER 0
---- -------------------------------------------------------------------------------
EACH
REPORTING 9. SOLE DISPOSITIVE POWER 0
---- -------------------------------------------------------------------------------
PERSON WITH
10. SHARED DISPOSITIVE POWER 0
---- -------------------------------------------------------------------------------
--------- ----------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0
--------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
--------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 0%
--------- ----------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------------------------------
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13D/A Page 4 of 5 Pages
CUSIP No. 709754105
EXPLANATORY NOTE: This Amendment No. 16 relates to and amends the Statement
of Beneficial Ownership on Schedule 13D of Perceptive Advisors LLC, a Delaware
limited liability company (the "Investment Manager") and Joseph Edelman, the
managing member of the Investment Manager (each, a Reporting Person and,
collectively, the "Reporting Persons"), initially filed jointly by the Reporting
Persons with the Securities and Exchange Commission on July 17, 2008 and amended
on July 18, 2008, October 23, 2008, November 21, 2008, December 19, 2008,
January 12, 2009, March 3, 2009, March 12, 2009, March 30, 2009, April 28, 2009,
June 22, 2009, February 5, 2010, May 28, 2010, July 1, 2010, August 9, 2010 and
August 20, 2010 (as so amended, the "Statement"), with respect to the common
stock, par value $0.001 (the "Common Stock") of Penwest Pharmaceuticals Co., a
Washington corporation (the "Issuer").
Items 4 and 5 of the Statement are hereby amended to the extent hereinafter
expressly set forth. All capitalized terms used and not expressly defined herein
have the respective meanings ascribed to such terms in the Statement.
ITEM 4. PURPOSE OF TRANSACTION
Item 4 of the Statement is hereby amended to add the following:
On September 20, 2010, the Merger Sub accepted the tender of all of the
shares of Common Stock held by the Reporting Persons, pursuant to the terms of
the Offer and the Merger was completed. The Reporting Persons received the
consideration for such tender from Merger Sub on September 23, 2010 and
September 24, 2010.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 of the Statement is hereby amended and restated as follows:
Reference is made to Item 4 of the Statement.
As of September 20, 2010 the Reporting Persons ceased to be the beneficial
owner of any securities of the Issuer.
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13D/A Page 5 of 5 Pages
CUSIP No. 709754105
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
September 27, 2010
------------------
Date
PERCEPTIVE ADVISORS LLC
/s/ Joseph Edelman
------------------
Signature
Joseph Edelman/Managing Member
------------------------------
Name/Title
September 27, 2010
------------------
Date
/s/ Joseph Edelman
------------------
Signature
Joseph Edelman
--------------
Name/Title
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative other than an executive
officer or general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See ss.240.13d-7 for other
parties for whom copies are to be sent.
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