Form Type: 4

SEC EDGAR Link
Accession Number:0001535264-21-000037
Date:2021-06-10
Issuer: RECRO PHARMA, INC. (REPH)
Original Submission Date:

Reporting Person:

AWM INVESTMENT COMPANY, INC.
527 MADISON AVENUE
SUITE 2600 NEW YORK, NY 10022

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-06-10 S 150,000 d $2.23 4,735,748 indirect
COMMON STOCK 2021-06-11 S 50,000 d $2.16 4,685,748 indirect
COMMON STOCK 2021-06-11 S 266,667 d $2.20 4,419,081 f3 indirect f2,f3
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 this is a weighted average price.
f2 awm investment company, inc., a delaware corporation (awm), is the investment adviser to special situations fund iii qp, l.p. (qp), special situations cayman fund, l.p. (cay), special situations private equity fund, l.p. (pe) and special situations life sciences fund, l.p. (ls). (ls and together with qp, cay and pe the funds). as the investment adviser to the funds, awm holds sole voting and investment power over 2,633,201 shares of common stock of the issuer (the shares) held by qp, 919,213 shares held by cay, 666,667 shares held by pe and 200,000 shares held by ls.
f3 austin w. marxe (marxe), david m. greenhouse (greenhouse) and adam c. stettner (stettner) are the controlling principals of awm.the reporting person disclaims beneficial ownership of the shares, except to the extent of its pecuniary interest therein. this report shall notbe deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of section 16 of thesecurities exchange act of 1934, as amended, or for any other purpose.

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