NovaQuest Capital Management, L.L.C.

Q4 2019 13F Holdings Report, Stock Holdings

Signature - Title
John L. Bradley, Jr. - Manager
Location
Raleigh, NC
Holdings as of
December 31, 2019
Value $
$79.2M
Num holdings
2
Date filed
1/24/2020, 04:43 PM
Description
All US holdings of this investor are reported in this report. The Form 13F report requires disclosure of the manager that files the report, the name and class of the security, the CUSIP code, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. The market value column should not be used as a substitute for Assets Under Management (AUM), as it does not include cash held in accounts.
Previous filing
Q3 2019 - Oct 25, 2019
Next filing
Q1 2020 - Apr 24, 2020
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2019 Q4 compared to 2019 Q3 by default.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
John L. Bradley, Jr. Manager Raleigh, North Carolina 1/24/2020

The securities listed in the information table are held by NovaQuest Pharma Opportunities Fund III, L.P. ("Fund III"), NovaQuest Pharma Opportunities Fund III (Aggregator), L.P. ("Fund III Aggregator"), NovaQuest Pharma Opportunities Fund IV, L.P. ("Fund IV"), and NovaQuest Pharma Opportunities Fund IV (Parallel), L.P. ("Fund IV Parallel" and collectively with Fund III, Fund III Aggregator, and Fund IV, the "NovaQuest Funds"), as applicable. The filing of this report or any related report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g) or 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules thereunder, or for any other purpose, that NovaQuest Capital Management, L.L.C. ("NovaQuest Capital") or any other person exercises investment discretion with respect to the securities listed herein or is a member of, or is otherwise affiliated with, such a group with respect to such securities. Reference is made, where relevant, to reports filed under Sections 13(d), 13(g) and 16(a) of the Exchange Act for additional information with respect to such beneficial ownership and/or pecuniary interest of securities held by the NovaQuest Funds. The filing of this report or any related report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g) or 16(a) of the Exchange Act and the rules thereunder, or for any other purpose, that NovaQuest Capital or any other person is the beneficial owner of any securities held by the NovaQuest Funds.