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Neothetics, Inc. 4/A

Accession 0000904454-14-000791

$EVFMCIK 0001618835operating
View on SEC.govCompany Profile

Filed

Dec 9, 7:00 PM ET

Accepted

Dec 10, 4:17 PM ET

Size

34.0 KB

Accession

0000904454-14-000791

Insider Transaction Report

Form 4/AAmended
Period: 2014-11-25
Neothetics, Inc.NEOT
DP VII ASSOCIATES LP
10% Owner
Transactions
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−958$13,412→ 46,923 total
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+2,827$24,143→ 49,750 total
  • Conversion

    Series B Preferred Stock

    2014-11-25−104,247→ 0 total
    → Common Stock (19,486 underlying)
  • Conversion

    Common Stock

    2014-11-25+46,311→ 46,311 total
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+1,570$13,408→ 47,881 total
  • Conversion

    Series C Preferred Stock

    2014-11-25−102,282→ 0 total
    → Common Stock (16,768 underlying)
  • Exercise/Conversion

    Series B-2 Preferred Stock Warrant (Right to Buy)

    2014-11-25−1,570→ 0 total
    Exercise: $8.54→ Common Stock (1,570 underlying)
  • Conversion

    Series B-2 Preferred Stock

    2014-11-25−36,913→ 0 total
    → Common Stock (7,996 underlying)
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−1,725$24,150→ 48,025 total
  • Conversion

    Series A Preferred Stock

    2014-11-25−12,578→ 0 total
    → Common Stock (2,061 underlying)
  • Exercise/Conversion

    Series C Preferred Stock Warrant (Right to Buy)

    2014-11-25−2,827→ 0 total
    Exercise: $8.54→ Common Stock (2,827 underlying)
DOVEY BRIAN H
10% Owner
Transactions
  • Conversion

    Common Stock

    2014-11-25+46,311→ 46,311 total
  • Conversion

    Series B Preferred Stock

    2014-11-25−104,247→ 0 total
    → Common Stock (19,486 underlying)
  • Conversion

    Series B-2 Preferred Stock

    2014-11-25−36,913→ 0 total
    → Common Stock (7,996 underlying)
  • Conversion

    Series C Preferred Stock

    2014-11-25−102,282→ 0 total
    → Common Stock (16,768 underlying)
  • Exercise/Conversion

    Series C Preferred Stock Warrant (Right to Buy)

    2014-11-25−2,827→ 0 total
    Exercise: $8.54→ Common Stock (2,827 underlying)
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+2,827$24,143→ 49,750 total
  • Exercise/Conversion

    Series B-2 Preferred Stock Warrant (Right to Buy)

    2014-11-25−1,570→ 0 total
    Exercise: $8.54→ Common Stock (1,570 underlying)
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−958$13,412→ 46,923 total
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+1,570$13,408→ 47,881 total
  • Conversion

    Series A Preferred Stock

    2014-11-25−12,578→ 0 total
    → Common Stock (2,061 underlying)
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−1,725$24,150→ 48,025 total
TREU JESSE I
10% Owner
Transactions
  • Conversion

    Common Stock

    2014-11-25+46,311→ 46,311 total
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+2,827$24,143→ 49,750 total
  • Conversion

    Series A Preferred Stock

    2014-11-25−12,578→ 0 total
    → Common Stock (2,061 underlying)
  • Conversion

    Series B Preferred Stock

    2014-11-25−104,247→ 0 total
    → Common Stock (19,486 underlying)
  • Conversion

    Series C Preferred Stock

    2014-11-25−102,282→ 0 total
    → Common Stock (16,768 underlying)
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+1,570$13,408→ 47,881 total
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−958$13,412→ 46,923 total
  • Exercise/Conversion

    Series C Preferred Stock Warrant (Right to Buy)

    2014-11-25−2,827→ 0 total
    Exercise: $8.54→ Common Stock (2,827 underlying)
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−1,725$24,150→ 48,025 total
  • Conversion

    Series B-2 Preferred Stock

    2014-11-25−36,913→ 0 total
    → Common Stock (7,996 underlying)
  • Exercise/Conversion

    Series B-2 Preferred Stock Warrant (Right to Buy)

    2014-11-25−1,570→ 0 total
    Exercise: $8.54→ Common Stock (1,570 underlying)
SCHOEMAKER KATHLEEN K
10% Owner
Transactions
  • Exercise/Conversion

    Series B-2 Preferred Stock Warrant (Right to Buy)

    2014-11-25−1,570→ 0 total
    Exercise: $8.54→ Common Stock (1,570 underlying)
  • Conversion

    Common Stock

    2014-11-25+46,311→ 46,311 total
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+2,827$24,143→ 49,750 total
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−1,725$24,150→ 48,025 total
  • Conversion

    Series B Preferred Stock

    2014-11-25−104,247→ 0 total
    → Common Stock (19,486 underlying)
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+1,570$13,408→ 47,881 total
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−958$13,412→ 46,923 total
  • Conversion

    Series A Preferred Stock

    2014-11-25−12,578→ 0 total
    → Common Stock (2,061 underlying)
  • Conversion

    Series B-2 Preferred Stock

    2014-11-25−36,913→ 0 total
    → Common Stock (7,996 underlying)
  • Conversion

    Series C Preferred Stock

    2014-11-25−102,282→ 0 total
    → Common Stock (16,768 underlying)
  • Exercise/Conversion

    Series C Preferred Stock Warrant (Right to Buy)

    2014-11-25−2,827→ 0 total
    Exercise: $8.54→ Common Stock (2,827 underlying)
VITULLO NICOLE
10% Owner
Transactions
  • Exercise/Conversion

    Series B-2 Preferred Stock Warrant (Right to Buy)

    2014-11-25−1,570→ 0 total
    Exercise: $8.54→ Common Stock (1,570 underlying)
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+2,827$24,143→ 49,750 total
  • Conversion

    Series C Preferred Stock

    2014-11-25−102,282→ 0 total
    → Common Stock (16,768 underlying)
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+1,570$13,408→ 47,881 total
  • Conversion

    Series A Preferred Stock

    2014-11-25−12,578→ 0 total
    → Common Stock (2,061 underlying)
  • Exercise/Conversion

    Series C Preferred Stock Warrant (Right to Buy)

    2014-11-25−2,827→ 0 total
    Exercise: $8.54→ Common Stock (2,827 underlying)
  • Conversion

    Common Stock

    2014-11-25+46,311→ 46,311 total
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−958$13,412→ 46,923 total
  • Conversion

    Series B Preferred Stock

    2014-11-25−104,247→ 0 total
    → Common Stock (19,486 underlying)
  • Conversion

    Series B-2 Preferred Stock

    2014-11-25−36,913→ 0 total
    → Common Stock (7,996 underlying)
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−1,725$24,150→ 48,025 total
Halak Brian K
10% Owner
Transactions
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+1,570$13,408→ 47,881 total
  • Conversion

    Series A Preferred Stock

    2014-11-25−12,578→ 0 total
    → Common Stock (2,061 underlying)
  • Conversion

    Series C Preferred Stock

    2014-11-25−102,282→ 0 total
    → Common Stock (16,768 underlying)
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+2,827$24,143→ 49,750 total
  • Conversion

    Series B Preferred Stock

    2014-11-25−104,247→ 0 total
    → Common Stock (19,486 underlying)
  • Conversion

    Common Stock

    2014-11-25+46,311→ 46,311 total
  • Conversion

    Series B-2 Preferred Stock

    2014-11-25−36,913→ 0 total
    → Common Stock (7,996 underlying)
  • Exercise/Conversion

    Series B-2 Preferred Stock Warrant (Right to Buy)

    2014-11-25−1,570→ 0 total
    Exercise: $8.54→ Common Stock (1,570 underlying)
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−958$13,412→ 46,923 total
  • Exercise/Conversion

    Series C Preferred Stock Warrant (Right to Buy)

    2014-11-25−2,827→ 0 total
    Exercise: $8.54→ Common Stock (2,827 underlying)
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−1,725$24,150→ 48,025 total
BLAIR JAMES C
10% Owner
Transactions
  • Conversion

    Common Stock

    2014-11-25+46,311→ 46,311 total
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+1,570$13,408→ 47,881 total
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−958$13,412→ 46,923 total
  • Exercise/Conversion

    Common Stock

    2014-11-25$8.54/sh+2,827$24,143→ 49,750 total
  • Tax Payment

    Common Stock

    2014-11-25$14.00/sh−1,725$24,150→ 48,025 total
  • Conversion

    Series A Preferred Stock

    2014-11-25−12,578→ 0 total
    → Common Stock (2,061 underlying)
  • Conversion

    Series B Preferred Stock

    2014-11-25−104,247→ 0 total
    → Common Stock (19,486 underlying)
  • Conversion

    Series B-2 Preferred Stock

    2014-11-25−36,913→ 0 total
    → Common Stock (7,996 underlying)
  • Exercise/Conversion

    Series B-2 Preferred Stock Warrant (Right to Buy)

    2014-11-25−1,570→ 0 total
    Exercise: $8.54→ Common Stock (1,570 underlying)
  • Exercise/Conversion

    Series C Preferred Stock Warrant (Right to Buy)

    2014-11-25−2,827→ 0 total
    Exercise: $8.54→ Common Stock (2,827 underlying)
  • Conversion

    Series C Preferred Stock

    2014-11-25−102,282→ 0 total
    → Common Stock (16,768 underlying)
Footnotes (5)
  • [F1]The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
  • [F2]As managing members of Domain Associates, LLC, each Reporting Owner listed below may also be deemed to indirectly beneficially 24,000 shares of Common Stock held by Domain Associates, LLC.
  • [F3]As managing members of the sole general partner of Domain Partners VII, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners VII, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4.
  • [F4]All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration. The preferred stock had no expiration date.
  • [F5]Immediately prior to the closing of the IPO the Warrants were net exercised for shares of Preferred Stock, which then automatically converted into shares of Common Stock. The net exercise is based on a fair market value of the IPO price of the Common Stock, which was $14.00 per share.

Documents

1 file

Issuer

Neothetics, Inc.

CIK 0001618835

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001618835

Filing Metadata

Form type
4/A
Filed
Dec 9, 7:00 PM ET
Accepted
Dec 10, 4:17 PM ET
Size
34.0 KB
View on SEC.gov