NovaQuest Capital Management, L.L.C.

Q4 2017 13F Holdings Report, Stock Holdings

Signature - Title
John L. Bradley, Jr. - Manager
Location
Raleigh, NC
Holdings as of
December 31, 2017
Value $
$126M
Num holdings
2
Date filed
2/13/2018, 01:33 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.
Next filing
Q1 2018 - Apr 24, 2018
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
* 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 2/13/2018

The securities listed in the information table are held by NovaQuest Pharma Opportunities Fund III, L.P. ("Fund III"), NovaQuest Pharma Opportunities Fund IV, L.P., and NovaQuest Pharma Opportunities Fund IV (Parallel), L.P. ("Fund IV Parallel" and collectively with Fund III 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. With respect to the entities listed as Other Managers on this Form 13-HR and accompanying Information Table, NQ HCIF General Partner, L.P., the general partner of Fund III ("Fund III GP"), has the authority to vote securities directly owned by Fund III, and NQ HCIF GP, Ltd., the general partner of Fund III GP, has the authority to direct Fund III GP as to such voting.

Other Included Managers (3):

Num Name Location File Number
2 NovaQuest Pharma Opportunities Fund III, L.P. 028-16648
3 NQ HCIF General Partner, L.P. 028-16646
4 NQ HCIF GP, Ltd. 028-16645