4//SEC Filing
Auspex Pharmaceuticals, Inc. 4
Accession 0001012975-14-000663
CIK 0001454189operating
Filed
Oct 13, 8:00 PM ET
Accepted
Oct 14, 11:08 AM ET
Size
10.1 KB
Accession
0001012975-14-000663
Insider Transaction Report
Form 4
Zisson Alex
Director10% Owner
Transactions
- Exercise/Conversion
Common Stock
2014-10-09$3.88/sh+60,151$233,326→ 5,280,375 total(indirect: see footnote) - Exercise/Conversion
Common Stock Warrent
2014-10-09−60,151→ 0 total(indirect: see footnote)Exercise: $3.88Exp: 2014-10-09→ Common Stock (60,151 underlying) - Disposition to Issuer
Common Stock
2014-10-09$23.89/sh−9,771$233,380→ 5,270,604 total(indirect: see footnote)
Footnotes (7)
- [F1]The securities are held as follows: 59,310 shares by Thomas, McNerney & Partners II, L.P. ("TMP II"), 619 shares by TMP Nominee II, LLC ("TMPN II") and 222 shares by TMP Associates II, L.P. ("TMPA II").
- [F2]Includes 5,206,453 shares held in the name of TMP II; 54,387 shares held in the name of TMPN II; and 19,535 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. Alex Zisson is a manager of TMP II LLC and has shared voting and dispositive power over the securities held by TMP II and TMPA II, but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- [F4]On October 9, 2014, TMP II, TMPN II, and TMPA II exercised warrants to purchase an aggregate 60,151 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 9,771 of the warrant shares to pay the exercise price and issuing a net 50,380 shares of common stock.
- [F5]The securities were disposed of as follows: 9,633 shares by TMP II, 101 shares by TMPN II and 37 shares by TMPA II.
- [F6]Includes 5,196,820 shares held in the name of TMP II; 54,286 shares held in the name of TMPN II; and 19,498 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
- Filed
- Oct 13, 8:00 PM ET
- Accepted
- Oct 14, 11:08 AM ET
- Size
- 10.1 KB