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<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, DC&nbsp;20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM 8-K
</B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:14pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT REPORT </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section&nbsp;13 or 15 (d)&nbsp;of </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>The Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of earliest event reported):&nbsp;September&nbsp;10, 2013 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Sagent Pharmaceuticals, Inc. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>1-35144</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>98-0536317</B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or other Jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of Incorporation)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(IRS Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR></TABLE>
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<TD VALIGN="top" COLSPAN="3" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>1901 N. Roselle Road, Suite 700</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Schaumburg, Illinois</B></P></TD>
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<TD VALIGN="bottom" ALIGN="center"><B>60195</B></TD></TR>
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<TD VALIGN="top" COLSPAN="3" ALIGN="center"><B>(Address of principal executive offices)</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>(Zip Code)</B></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Registrant&#146;s telephone number, including area code:&nbsp;(847)&nbsp;908-1600 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
following provisions: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top">Written communications pursuant to Rule 425 under the Securities Act (17 CRS 230.425) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13a-4c)) </TD></TR></TABLE> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="8%" VALIGN="top" ALIGN="left"><B>Item&nbsp;1.01</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Entry into a Material Definitive Agreement. </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On September&nbsp;10, 2013, Sagent Pharmaceuticals, Inc.
(the &#147;Company&#148;) entered into an Underwriting Agreement (the &#147;Underwriting Agreement&#148;), by and among the Company, the selling stockholders named in Schedule I thereto (the &#147;Selling Stockholders&#148;) and Morgan
Stanley&nbsp;&amp; Co. LLC, Jefferies LLC and Merrill Lynch, Pierce, Fenner&nbsp;&amp; Smith Incorporated, as representatives of the several underwriters named in Schedule&nbsp;II thereto (collectively, the &#147;Underwriters&#148;), for the
issuance and sale in a registered offering of 4,600,000 shares of the Company&#146;s common stock, par value $0.01 per share, at a public offering price of $21.25 per share, less discounts and commissions of $1.2218 per share. Of these shares, the
Company has agreed to sell 3,542,470 shares of common stock and the Selling Stockholders have agreed to sell, collectively, 1,057,530 shares of common stock. In addition, the Selling Stockholders have granted the Underwriters an option to purchase
up to 690,000 additional shares, all at the public offering price less the underwriting discount (the &#147;Option&#148;). On September&nbsp;12, 2013, the Underwriters gave notice of their intent to exercise the Option. The Company expects to close
the sale of the common stock on September&nbsp;16, 2013, subject to customary closing conditions. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Company expects to receive net proceeds from the
offering of approximately $70.7 million, after deducting underwriting discounts and commissions and the estimated expenses of the offering. The Company intends to use the net proceeds for general corporate purposes, which it expects to include
funding working capital, operating expenses, the continued development of its product pipeline and portfolio, the maintenance and expansion of its current collaboration arrangements, the strengthening of its existing commercial organization, funding
the final payments for the remaining 50% interest in Sagent (China) Pharmaceuticals Co. Ltd. and any costs related to its manufacturing facility, and the selective pursuit of business development opportunities in its focus segment areas.&nbsp;The
Company will not receive any of the proceeds from the sale of shares by the Selling Stockholders, including the shares to be sold by the Selling Stockholders in connection with the Option. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The offering is being made pursuant to the Company&#146;s effective Registration Statement on Form S-3 (Reg. No.&nbsp;333-185645), as amended (the
&#147;Registration Statement&#148;), as supplemented by a preliminary prospectus supplement dated September&nbsp;9, 2013 and a final prospectus supplement dated September&nbsp;11, 2013. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Underwriting Agreement contains customary representations, warranties and covenants that are valid as among the parties as of the dates set forth in the
Underwriting Agreement, and are not factual information to investors about the Company. Security holders are not third-party beneficiaries under the Underwriting Agreement and should not rely on the representations, warranties and covenants or any
descriptions thereof as characterizations of the actual state of facts or condition of the Company. Moreover, information concerning the subject matter of the representations and warranties may change after the date of the Underwriting Agreement,
which subsequent information may or may not be fully reflected in the Company&#146;s public disclosures. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The foregoing summary of the Underwriting
Agreement is qualified in its entirety by reference to the actual Underwriting Agreement, which is filed as Exhibit&nbsp;1.1 hereto and which is incorporated by reference into this Item&nbsp;1.01. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">In connection with the offering and sale of the common stock, the following exhibits are being filed with this Current Report on Form 8-K to be incorporated
by reference into the Registration Statement on Form S-3 (Registration No.&nbsp;333-185645): (i)&nbsp;the Underwriting Agreement (Exhibit&nbsp;1.1 to this Current Report on Form 8-K), (ii)&nbsp;the opinion of Kirkland&nbsp;&amp; Ellis LLP as to the
legality of the shares of common stock (Exhibit&nbsp;5.1), (iii)&nbsp;the consent of Kirkland&nbsp;&amp; Ellis LLP (Exhibit&nbsp;23.1) and (iv)&nbsp;certain information relating to Part&nbsp;II, Item&nbsp;14. &#147;Other Expenses of Issuance and
Distribution&#148; of the Registration Statement (Exhibit&nbsp;99.2). </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="8%" VALIGN="top" ALIGN="left"><B>Item&nbsp;8.01</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Other Events. </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On September&nbsp;10, 2013, the Company issued a press release announcing that it had
upsized and priced the public offering described in Item&nbsp;1.01 of this report. A copy of the press release is furnished as Exhibit 99.1 to this Report. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Forward-Looking Statements </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">This Current Report on
Form&nbsp;8-K includes &#147;forward-looking statements&#148; within the meaning of the safe harbor provisions of Section&nbsp;27A of the Securities Act of 1933 and Section&nbsp;21E of the Securities Exchange Act of 1934 &#151; that is, statements
related to </P>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">1 </P>


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future, not past, events. Forward-looking statements are based on current expectations and include any statement that does not directly relate to a current or historical fact. In this context,
forward-looking statements often address the Company&#146;s expected future business and financial performance, and often contain words such as &#147;anticipate,&#148; &#147;believe,&#148; &#147;intend,&#148; &#147;expect,&#148; &#147;plan,&#148;
&#147;will&#148; or other similar words. These forward-looking statements involve certain risks and uncertainties that ultimately may not prove to be accurate. Actual results and future events could differ materially from those anticipated in such
statements. For further discussion of risks and uncertainties, individuals should refer to the Company&#146;s SEC filings. The Company undertakes no obligation and does not intend to update these forward-looking statements to reflect events or
circumstances occurring after the date of this Current Report on Form&nbsp;8-K, other than as required by law. Investors are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of this Current
Report on Form&nbsp;8-K. All forward-looking statements are qualified in their entirety by this cautionary statement. </P>
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<TD WIDTH="8%" VALIGN="top" ALIGN="left"><B>Item&nbsp;9.01</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Financial Statements and Exhibits</B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">(d.)&nbsp;Exhibits </P>
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<TD VALIGN="bottom" ALIGN="center"> <P STYLE="border-bottom:1.00pt solid #000000; width:39.50pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>1.1</TD>
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<TD VALIGN="top">Underwriting Agreement, dated September 10, 2013, by and among the Company, the selling stockholders named in Schedule&nbsp;I thereto, and Morgan Stanley &amp; Co. LLC, Jefferies LLC and Merrill Lynch, Pierce, Fenner &amp; Smith
Incorporated, as representatives of the several underwriters named in Schedule&nbsp;II thereto.</TD></TR>
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<TD VALIGN="top" NOWRAP>5.1</TD>
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<TD VALIGN="top">Opinion of Kirkland &amp; Ellis LLP.</TD></TR>
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<TD VALIGN="top" NOWRAP>23.1</TD>
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<TD VALIGN="top">Consent of Kirkland &amp; Ellis LLP (set forth in Exhibit&nbsp;5.1).</TD></TR>
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<TD VALIGN="top" NOWRAP>99.1</TD>
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<TD VALIGN="top">Sagent Pharmaceuticals, Inc. press release dated September 10, 2013.</TD></TR>
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<TD VALIGN="top" NOWRAP>99.2</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Information relating to Part II, Item&nbsp;14 &#147;Other Expenses of Issuance and Distribution&#148; of the Company Registration Statement on Form&nbsp;S-3 (Reg. No.&nbsp;333-185645), as amended.</TD></TR>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURE </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned thereunto duly authorized. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top">Date: September&nbsp;16, 2013</TD>
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<TD VALIGN="top">SAGENT PHARMACEUTICALS, INC.</TD></TR>
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<TD VALIGN="top"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">/s/ Jonathon M. Singer</P></TD></TR>
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<TD VALIGN="top">Name: Jonathon M. Singer</TD></TR>
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<TD VALIGN="top">Title: Executive Vice President and Chief Financial Officer</TD></TR>
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<TD VALIGN="bottom" NOWRAP> <P STYLE="border-bottom:1.00pt solid #000000; width:55.75pt; font-size:8pt; font-family:Times New Roman"><B>Exhibit&nbsp;Number</B></P></TD>
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<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Description&nbsp;of&nbsp;Exhibit</B></P></TD></TR>


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<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>1.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Underwriting Agreement, dated September 10, 2013, by and among the Company, the selling stockholders named in Schedule&nbsp;I thereto, and Morgan Stanley &amp; Co. LLC, Jefferies LLC and Merrill Lynch, Pierce, Fenner &amp; Smith
Incorporated, as representatives of the several underwriters named in Schedule&nbsp;II thereto.</TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>5.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Opinion of Kirkland &amp; Ellis LLP.</TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>23.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Consent of Kirkland &amp; Ellis LLP (set forth in Exhibit&nbsp;5.1).</TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>99.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Sagent Pharmaceuticals, Inc. press release dated September 10, 2013.</TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>99.2</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Information relating to Part II, Item&nbsp;14 &#147;Other Expenses of Issuance and Distribution&#148; of the Company Registration Statement on Form&nbsp;S-3 (Reg. No.&nbsp;333-185645), as amended.</TD></TR>
</TABLE>
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{"company-data": {"conformed-name": "Sagent Pharmaceuticals, Inc.", "cik": "0001369786", "assigned-sic": "2834", "irs-number": "000000000", "state-of-incorporation": "DE"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-35144", "film-number": "131097992"}, "business-address": {"street1": "1901 NORTH ROSELLE ROAD, SUITE 700", "city": "SCHAUMBURG", "state": "IL", "zip": "60195", "phone": "847-908-1604"}, "mail-address": {"street1": "1901 NORTH ROSELLE ROAD, SUITE 700", "city": "SCHAUMBURG", "state": "IL", "zip": "60195"}, "former-company": [{"former-conformed-name": "Sagent Holding Co.", "date-changed": "20090529"}, {"former-conformed-name": "NHS PHARMACEUTICALS", "date-changed": "20060720"}]}
8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15 (d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): September 10, 2013
Sagent Pharmaceuticals, Inc.
(Exact name of registrant as specified in its charter)
Delaware
1-35144
98-0536317
(State or other Jurisdiction
of Incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
1901 N. Roselle Road, Suite 700
Schaumburg, Illinois
60195
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code: (847) 908-1600
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
following provisions:
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CRS 230.425)
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13a-4c))
Item 1.01
Entry into a Material Definitive Agreement.
On September 10, 2013, Sagent Pharmaceuticals, Inc.
(the "Company") entered into an Underwriting Agreement (the "Underwriting Agreement"), by and among the Company, the selling stockholders named in Schedule I thereto (the "Selling Stockholders") and Morgan
Stanley & Co. LLC, Jefferies LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated, as representatives of the several underwriters named in Schedule II thereto (collectively, the "Underwriters"), for the
issuance and sale in a registered offering of 4,600,000 shares of the Company's common stock, par value $0.01 per share, at a public offering price of $21.25 per share, less discounts and commissions of $1.2218 per share. Of these shares, the
Company has agreed to sell 3,542,470 shares of common stock and the Selling Stockholders have agreed to sell, collectively, 1,057,530 shares of common stock. In addition, the Selling Stockholders have granted the Underwriters an option to purchase
up to 690,000 additional shares, all at the public offering price less the underwriting discount (the "Option"). On September 12, 2013, the Underwriters gave notice of their intent to exercise the Option. The Company expects to close
the sale of the common stock on September 16, 2013, subject to customary closing conditions.
The Company expects to receive net proceeds from the
offering of approximately $70.7 million, after deducting underwriting discounts and commissions and the estimated expenses of the offering. The Company intends to use the net proceeds for general corporate purposes, which it expects to include
funding working capital, operating expenses, the continued development of its product pipeline and portfolio, the maintenance and expansion of its current collaboration arrangements, the strengthening of its existing commercial organization, funding
the final payments for the remaining 50% interest in Sagent (China) Pharmaceuticals Co. Ltd. and any costs related to its manufacturing facility, and the selective pursuit of business development opportunities in its focus segment areas. The
Company will not receive any of the proceeds from the sale of shares by the Selling Stockholders, including the shares to be sold by the Selling Stockholders in connection with the Option.
The offering is being made pursuant to the Company's effective Registration Statement on Form S-3 (Reg. No. 333-185645), as amended (the
"Registration Statement"), as supplemented by a preliminary prospectus supplement dated September 9, 2013 and a final prospectus supplement dated September 11, 2013.
The Underwriting Agreement contains customary representations, warranties and covenants that are valid as among the parties as of the dates set forth in the
Underwriting Agreement, and are not factual information to investors about the Company. Security holders are not third-party beneficiaries under the Underwriting Agreement and should not rely on the representations, warranties and covenants or any
descriptions thereof as characterizations of the actual state of facts or condition of the Company. Moreover, information concerning the subject matter of the representations and warranties may change after the date of the Underwriting Agreement,
which subsequent information may or may not be fully reflected in the Company's public disclosures.
The foregoing summary of the Underwriting
Agreement is qualified in its entirety by reference to the actual Underwriting Agreement, which is filed as Exhibit 1.1 hereto and which is incorporated by reference into this Item 1.01.
In connection with the offering and sale of the common stock, the following exhibits are being filed with this Current Report on Form 8-K to be incorporated
by reference into the Registration Statement on Form S-3 (Registration No. 333-185645): (i) the Underwriting Agreement (Exhibit 1.1 to this Current Report on Form 8-K), (ii) the opinion of Kirkland & Ellis LLP as to the
legality of the shares of common stock (Exhibit 5.1), (iii) the consent of Kirkland & Ellis LLP (Exhibit 23.1) and (iv) certain information relating to Part II, Item 14. "Other Expenses of Issuance and
Distribution" of the Registration Statement (Exhibit 99.2).
Item 8.01
Other Events.
On September 10, 2013, the Company issued a press release announcing that it had
upsized and priced the public offering described in Item 1.01 of this report. A copy of the press release is furnished as Exhibit 99.1 to this Report.
Forward-Looking Statements
This Current Report on
Form 8-K includes "forward-looking statements" within the meaning of the safe harbor provisions of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 — that is, statements
related to
1
future, not past, events. Forward-looking statements are based on current expectations and include any statement that does not directly relate to a current or historical fact. In this context,
forward-looking statements often address the Company's expected future business and financial performance, and often contain words such as "anticipate," "believe," "intend," "expect," "plan,"
"will" or other similar words. These forward-looking statements involve certain risks and uncertainties that ultimately may not prove to be accurate. Actual results and future events could differ materially from those anticipated in such
statements. For further discussion of risks and uncertainties, individuals should refer to the Company's SEC filings. The Company undertakes no obligation and does not intend to update these forward-looking statements to reflect events or
circumstances occurring after the date of this Current Report on Form 8-K, other than as required by law. Investors are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of this Current
Report on Form 8-K. All forward-looking statements are qualified in their entirety by this cautionary statement.
2
Item 9.01
Financial Statements and Exhibits
(d.) Exhibits
Exhibit
Number
Description
1.1
Underwriting Agreement, dated September 10, 2013, by and among the Company, the selling stockholders named in Schedule I thereto, and Morgan Stanley & Co. LLC, Jefferies LLC and Merrill Lynch, Pierce, Fenner & Smith
Incorporated, as representatives of the several underwriters named in Schedule II thereto.
5.1
Opinion of Kirkland & Ellis LLP.
23.1
Consent of Kirkland & Ellis LLP (set forth in Exhibit 5.1).
99.1
Sagent Pharmaceuticals, Inc. press release dated September 10, 2013.
99.2
Information relating to Part II, Item 14 "Other Expenses of Issuance and Distribution" of the Company Registration Statement on Form S-3 (Reg. No. 333-185645), as amended.
3
SIGNATURE
Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned thereunto duly authorized.
Date: September 16, 2013
SAGENT PHARMACEUTICALS, INC.
/s/ Jonathon M. Singer
Name: Jonathon M. Singer
Title: Executive Vice President and Chief Financial Officer
4
EXHIBIT INDEX
Exhibit Number
Description of Exhibit
1.1
Underwriting Agreement, dated September 10, 2013, by and among the Company, the selling stockholders named in Schedule I thereto, and Morgan Stanley & Co. LLC, Jefferies LLC and Merrill Lynch, Pierce, Fenner & Smith
Incorporated, as representatives of the several underwriters named in Schedule II thereto.
5.1
Opinion of Kirkland & Ellis LLP.
23.1
Consent of Kirkland & Ellis LLP (set forth in Exhibit 5.1).
99.1
Sagent Pharmaceuticals, Inc. press release dated September 10, 2013.
99.2
Information relating to Part II, Item 14 "Other Expenses of Issuance and Distribution" of the Company Registration Statement on Form S-3 (Reg. No. 333-185645), as amended.
5