4//SEC Filing
Auspex Pharmaceuticals, Inc. 4
Accession 0001012975-15-000021
CIK 0001454189operating
Filed
Jan 11, 7:00 PM ET
Accepted
Jan 12, 3:56 PM ET
Size
15.0 KB
Accession
0001012975-15-000021
Insider Transaction Report
Form 4
Zisson Alex
Director10% Owner
Transactions
- Disposition to Issuer
Common Stock
2015-01-08$51.57/sh−24,008$1,238,189→ 5,565,731 total(indirect: see footnote) - Exercise/Conversion
Common Stock Warrant
2015-01-08−169,630→ 0 total(indirect: see footnote)Exercise: $3.88Exp: 2016-12-15→ Common Stock (169,630 underlying) - Exercise/Conversion
Common Stock
2015-01-08$3.88/sh+319,135$1,237,925→ 5,589,739 total(indirect: see footnote) - Exercise/Conversion
Common Stock Warrant
2015-01-08−59,277→ 0 total(indirect: see footnote)Exercise: $3.88Exp: 2015-01-08→ Common Stock (59,277 underlying) - Exercise/Conversion
Common Stock Warrant
2015-01-08−90,228→ 0 total(indirect: see footnote)Exercise: $3.88Exp: 2017-07-18→ Common Stock (90,228 underlying)
Footnotes (10)
- [F1]The securities are held as follows: 314,670 shares by Thomas, McNerney & Partners II, L.P. ("TMP II"), 3,286 shares by TMP Nominee II, LLC ("TMPN II") and 1,179 shares by TMP Associates II, L.P. ("TMPA II").
- [F10]The warrant was immediately exercisable.
- [F2]Includes 5,511,490 shares held in the name of TMP II; 57,572 shares held in the name of TMPN II; and 20,677 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 share 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 January 8, 2015, TMP II, TMPN II, and TMPA II exercised warrants to purchase an aggregate 319,135 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 24,008 of the warrant shares to pay the exercise price and issuing a net 295,127 shares of common stock.
- [F5]The securities were disposed of as follows: 23,669 shares by TMP II, 248 shares by TMPN II and 91 shares by TMPA II.
- [F6]Includes 5,487,821 shares held in the name of TMP II; 57,324 shares held in the name of TMPN II; and 20,586 shares held in the name of TMPA II.
- [F7]The securities are held as follows: 58,448 shares by TMP II, 610 shares by TMPN II and 219 shares by TMPA II.
- [F8]The securities are held as follows: 167,256 shares by TMP II, 1,747 shares by TMPN II and 627 shares by TMPA II.
- [F9]The securities are held as follows: 88,966 shares by TMP II, 929 shares by TMPN II and 333 shares by TMPA II.
Documents
Issuer
Auspex Pharmaceuticals, Inc.
CIK 0001454189
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001454189
Filing Metadata
- Form type
- 4
- Filed
- Jan 11, 7:00 PM ET
- Accepted
- Jan 12, 3:56 PM ET
- Size
- 15.0 KB