# EDGAR Filing Document

**Accession Number:** 0001228922
**File Stem:** 0001437749-23-008428
**Filing Date:** 2023-3
**Character Count:** 10703
**Document Hash:** 984c815cf6b583edd27d7bad49d91768
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-008428.hdr.sgml**: 20230329

**ACCESSION NUMBER**: 0001437749-23-008428

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230317

**FILED AS OF DATE**: 20230329

**DATE AS OF CHANGE**: 20230329

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** DONDERO JAMES D
- **CENTRAL INDEX KEY:** 0001228922

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36066
- **FILM NUMBER:** 23775641

**MAIL ADDRESS:**
- **STREET 1:** 300 CRESCENT COURT
- **STREET 2:** SUITE 700
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Paratek Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001178711
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 330960223
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 75 PARK PLAZA
- **STREET 2:** 4TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02116
- **BUSINESS PHONE:** (617) 807-6600

**MAIL ADDRESS:**
- **STREET 1:** 75 PARK PLAZA
- **STREET 2:** 4TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02116

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Transcept Pharmaceuticals Inc
- **DATE OF NAME CHANGE:** 20090130

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NOVACEA INC
- **DATE OF NAME CHANGE:** 20020724

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>DONDERO JAMES D<br><sub>(Last) (First) (Middle)</sub><br>300 CRESCENT COURT, SUITE 700<br><sub>(Street)</sub><br>DALLAS, TX 75201<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-17 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Paratek Pharmaceuticals, Inc. [ PRTK ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-17 |  | P |  | 234863 | A | $1.50 | 2134663 | I | See Footnote<sup>(1)</sup> |
| Common Stock | 2023-03-20 |  | P |  | 105137 | A | $1.40 | 2239770 | I | See Footnote<sup>(2)</sup> |
| Common Stock | 2023-03-21 |  | P |  | 242500 | A | 1.74<sup>(3)</sup> | 1307617 | I | See Footnote<sup>(4)</sup> |
| Common Stock | 2023-03-22 |  | P |  | 106000 | A | $1.77 | 2056000 | I | See Footnote<sup>(5)</sup> |
| Common Stock | 2023-03-23 |  | P |  | 100000 | A | 1.73<sup>(6)</sup> | 2156000 | I | See Footnote<sup>(7)</sup> |
| Common Stock |  |  |  |  |  |  |  | 50000 | I | See Footnote<sup>(8)</sup> |
| Common Stock |  |  |  |  |  |  |  | 2889060 | I | See Footnote<sup>(9)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) 1,851,434 shares are held by Highland Global Allocation Fund, 64,770 shares are held by NexPoint Climate Tech Fund and 218,429 shares are held by NexPoint Event Driven Fund. These entities are managed by NexPoint Asset Management, L.P. ("NexPoint Asset Management"). Mr. Dondero is the sole stockholder and director of Strand Advisors XVI, Inc., NexPoint Asset Management's general partner, and may be deemed to be an indirect beneficial owner of securities held by NexPoint Asset Management. Mr. Dondero disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

(2) 1,950,000 shares are held by Highland Global Allocation Fund, 64,770 shares are held by NexPoint Climate Tech Fund and 225,000 shares are held by NexPoint Event Driven Fund. These entities are managed by NexPoint Asset Management. Mr. Dondero is the sole stockholder and director of Strand Advisors XVI, Inc., NexPoint Asset Management's general partner, and may be deemed to be an indirect beneficial owner of securities held by NexPoint Asset Management. Mr. Dondero disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

(3) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.64 to $1.89, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

(4) Mr. Dondero owns 75% of PCMG Trading Partners XXIII, L.P. ("PCMG") and PCMG owns 99% of Drugcrafters. These entities are ultimately controlled by Mr. Dondero. Mr. Dondero may be deemed to be an indirect beneficial owner of the shares held by Drugcrafters. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

(5) 2,056,000 shares are held by Highland Global Allocation Fund, 64,770 shares are held by NexPoint Climate Tech Fund and 225,000 shares are held by NexPoint Event Driven Fund. These entities are managed by NexPoint Asset Management. Mr. Dondero is the sole stockholder and director of Strand Advisors XVI, Inc., NexPoint Asset Management's general partner, and may be deemed to be an indirect beneficial owner of securities held by NexPoint Asset Management. Mr. Dondero disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

(6) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.71 to $1.77, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

(7) 2,156,000 shares are held by Highland Global Allocation Fund, 64,770 shares are held by NexPoint Climate Tech Fund and 225,000 shares are held by NexPoint Event Driven Fund. These entities are managed by NexPoint Asset Management. Mr. Dondero is the sole stockholder and director of Strand Advisors XVI, Inc., NexPoint Asset Management's general partner, and may be deemed to be an indirect beneficial owner of securities held by NexPoint Asset Management. Mr. Dondero disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

(8) 50,000 shares are held by NexPoint Real Estate Opportunities Fund which is wholly owned by NexPoint Diversified Real Estate Trust Operating Partnership, L.P., which is wholly owned by NexPoint Diversified Real Estate Trust ("NXDT"). NXDT is advised indirectly by NexPoint Advisors, L.P. ("NP"). Mr. Dondero is the sole member of NP's general partner, and may be deemed to be an indirect beneficial owner of securities held by NP. Mr. Dondero disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

(9) 2,889,060 shares are held by a trust of which Mr. Dondero is the beneficiary. Mr. Dondero disclaims beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein.

**Signature:** /s/ James D. Dondero  
**Date:** 2023-03-29

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**