4/A//SEC Filing
Auspex Pharmaceuticals, Inc. 4/A
Accession 0001012975-14-000571
CIK 0001454189operating
Filed
Sep 18, 8:00 PM ET
Accepted
Sep 19, 12:23 PM ET
Size
10.3 KB
Accession
0001012975-14-000571
Insider Transaction Report
Form 4/AAmended
Zisson Alex
Director10% Owner
Transactions
- Exercise/Conversion
Common Stock
2014-05-14$3.88/sh+65,839$255,389→ 5,232,624 total(indirect: see footnote) - Disposition to Issuer
Common Stock
2014-05-14$20.60/sh−12,400$255,415→ 5,220,224 total(indirect: see footnote) - Exercise/Conversion
Common Stock Warrants
2014-05-14−65,839→ 0 total(indirect: see footnote)Exercise: $3.88Exp: 2014-05-22→ Common Stock (65,839 underlying)
Footnotes (7)
- [F1]The securities are held as follows: 64,918 shares by Thomas, McNerney & Partners II, L.P. ("TMP II"), 678 shares by TMP Nominee II, LLC ("TMPN II") and 243 shares by TMP Associates II, L.P. ("TMPA II").
- [F2]Includes 5,159,369 shares held in the name of TMP II; 53,345 shares held in the name of TMPN II; and 19,910 shares held in the name of TMPA II.
- [F3]The securities are held in the name of TMP II, TMPN II and TMPA II. Thomas, McNerney & Partners II, LLC ("TMP II LLC") is the general partner of TMP II and TMPA II. The reporting person is a manager of TMP II LLC and indirectly shares investment control over the securities held by TMPN II. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- [F4]On May 14, 2014, TMP II, TMPN II, and TMPA II exercised warrants to purchase an aggregate 65,839 shares of Auspex Pharmaceuticals, Inc. ("Auspex") common stock for $3.879 per share. The warrants were exercised on a cashless basis, resulting in Auspex withholding 12,400 of the warrant shares to pay the exercise price and issuing a net 53,439 shares of common stock.
- [F5]The securities were disposed of as follows: 12,226 shares by TMP II, 128 shares by TMPN II and 46 shares by TMPA II.
- [F6]Includes 5,147,143 shares held in the name of TMP II; 53,217 shares held in the name of TMPN II; and 19,864 shares held in the name of TMPA II.
- [F7]The warrant was immediately exercisable.
Documents
Issuer
Auspex Pharmaceuticals, Inc.
CIK 0001454189
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001454189
Filing Metadata
- Form type
- 4/A
- Filed
- Sep 18, 8:00 PM ET
- Accepted
- Sep 19, 12:23 PM ET
- Size
- 10.3 KB