4//SEC Filing
Neos Therapeutics, Inc. 4
Accession 0001104659-15-053971
CIK 0001467652operating
Filed
Jul 27, 8:00 PM ET
Accepted
Jul 28, 8:30 PM ET
Size
32.2 KB
Accession
0001104659-15-053971
Insider Transaction Report
Form 4
BLUHM ANDREW G
10% Owner
Transactions
- Conversion
Common Stock
2015-07-28+205,825→ 269,578 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+63,753→ 63,753 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+623,550→ 893,128 total(indirect: See Footnotes) - Conversion
Series B Preferred Stock
2015-07-28−153,009→ 0 total(indirect: See Footnotes)→ Common Stock (63,753 underlying) - Conversion
Series B-1 Preferred Stock
2015-07-28−493,982→ 0 total(indirect: See Footnotes)→ Common Stock (205,825 underlying) - Exercise of In-Money
Preferred Stock Warrant (Right to Buy)
2015-07-28−170,766→ 0 total(indirect: See Footnotes)→ Series C Preferred Stock (34,153 underlying) - Conversion
Common Stock
2015-07-28+14,230→ 907,358 total(indirect: See Footnotes) - Conversion
Series C Preferred Stock
2015-07-28−1,496,521→ 0 total(indirect: See Footnotes)→ Common Stock (623,550 underlying) - Conversion
Series C Preferred Stock
2015-07-28−34,153→ 0 total(indirect: See Footnotes)→ Common Stock (14,230 underlying)
DSC Advisors, L.L.C.
10% Owner
Transactions
- Conversion
Common Stock
2015-07-28+623,550→ 893,128 total(indirect: See Footnotes) - Conversion
Series B Preferred Stock
2015-07-28−153,009→ 0 total(indirect: See Footnotes)→ Common Stock (63,753 underlying) - Conversion
Series C Preferred Stock
2015-07-28−1,496,521→ 0 total(indirect: See Footnotes)→ Common Stock (623,550 underlying) - Conversion
Series C Preferred Stock
2015-07-28−34,153→ 0 total(indirect: See Footnotes)→ Common Stock (14,230 underlying) - Conversion
Series B-1 Preferred Stock
2015-07-28−493,982→ 0 total(indirect: See Footnotes)→ Common Stock (205,825 underlying) - Conversion
Common Stock
2015-07-28+63,753→ 63,753 total(indirect: See Footnotes) - Exercise of In-Money
Preferred Stock Warrant (Right to Buy)
2015-07-28−170,766→ 0 total(indirect: See Footnotes)→ Series C Preferred Stock (34,153 underlying) - Conversion
Common Stock
2015-07-28+205,825→ 269,578 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+14,230→ 907,358 total(indirect: See Footnotes)
DSC Advisors, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2015-07-28+623,550→ 893,128 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+63,753→ 63,753 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+14,230→ 907,358 total(indirect: See Footnotes) - Conversion
Series B-1 Preferred Stock
2015-07-28−493,982→ 0 total(indirect: See Footnotes)→ Common Stock (205,825 underlying) - Conversion
Series C Preferred Stock
2015-07-28−1,496,521→ 0 total(indirect: See Footnotes)→ Common Stock (623,550 underlying) - Conversion
Common Stock
2015-07-28+205,825→ 269,578 total(indirect: See Footnotes) - Conversion
Series B Preferred Stock
2015-07-28−153,009→ 0 total(indirect: See Footnotes)→ Common Stock (63,753 underlying) - Exercise of In-Money
Preferred Stock Warrant (Right to Buy)
2015-07-28−170,766→ 0 total(indirect: See Footnotes)→ Series C Preferred Stock (34,153 underlying) - Conversion
Series C Preferred Stock
2015-07-28−34,153→ 0 total(indirect: See Footnotes)→ Common Stock (14,230 underlying)
DELAWARE STREET CAPITAL L P
10% Owner
Transactions
- Conversion
Series B Preferred Stock
2015-07-28−153,009→ 0 total(indirect: See Footnotes)→ Common Stock (63,753 underlying) - Conversion
Common Stock
2015-07-28+623,550→ 893,128 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+14,230→ 907,358 total(indirect: See Footnotes) - Conversion
Series C Preferred Stock
2015-07-28−34,153→ 0 total(indirect: See Footnotes)→ Common Stock (14,230 underlying) - Conversion
Common Stock
2015-07-28+63,753→ 63,753 total(indirect: See Footnotes) - Conversion
Series B-1 Preferred Stock
2015-07-28−493,982→ 0 total(indirect: See Footnotes)→ Common Stock (205,825 underlying) - Conversion
Common Stock
2015-07-28+205,825→ 269,578 total(indirect: See Footnotes) - Exercise of In-Money
Preferred Stock Warrant (Right to Buy)
2015-07-28−170,766→ 0 total(indirect: See Footnotes)→ Series C Preferred Stock (34,153 underlying) - Conversion
Series C Preferred Stock
2015-07-28−1,496,521→ 0 total(indirect: See Footnotes)→ Common Stock (623,550 underlying)
DSC Managers, L.L.C.
10% Owner
Transactions
- Conversion
Common Stock
2015-07-28+63,753→ 63,753 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+205,825→ 269,578 total(indirect: See Footnotes) - Conversion
Series B Preferred Stock
2015-07-28−153,009→ 0 total(indirect: See Footnotes)→ Common Stock (63,753 underlying) - Conversion
Series B-1 Preferred Stock
2015-07-28−493,982→ 0 total(indirect: See Footnotes)→ Common Stock (205,825 underlying) - Conversion
Common Stock
2015-07-28+623,550→ 893,128 total(indirect: See Footnotes) - Exercise of In-Money
Preferred Stock Warrant (Right to Buy)
2015-07-28−170,766→ 0 total(indirect: See Footnotes)→ Series C Preferred Stock (34,153 underlying) - Conversion
Common Stock
2015-07-28+14,230→ 907,358 total(indirect: See Footnotes) - Conversion
Series C Preferred Stock
2015-07-28−1,496,521→ 0 total(indirect: See Footnotes)→ Common Stock (623,550 underlying) - Conversion
Series C Preferred Stock
2015-07-28−34,153→ 0 total(indirect: See Footnotes)→ Common Stock (14,230 underlying)
Transactions
- Conversion
Common Stock
2015-07-28+623,550→ 893,128 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+14,230→ 907,358 total(indirect: See Footnotes) - Conversion
Series B Preferred Stock
2015-07-28−153,009→ 0 total(indirect: See Footnotes)→ Common Stock (63,753 underlying) - Conversion
Series B-1 Preferred Stock
2015-07-28−493,982→ 0 total(indirect: See Footnotes)→ Common Stock (205,825 underlying) - Exercise of In-Money
Preferred Stock Warrant (Right to Buy)
2015-07-28−170,766→ 0 total(indirect: See Footnotes)→ Series C Preferred Stock (34,153 underlying) - Conversion
Series C Preferred Stock
2015-07-28−34,153→ 0 total(indirect: See Footnotes)→ Common Stock (14,230 underlying) - Conversion
Common Stock
2015-07-28+63,753→ 63,753 total(indirect: See Footnotes) - Conversion
Common Stock
2015-07-28+205,825→ 269,578 total(indirect: See Footnotes) - Conversion
Series C Preferred Stock
2015-07-28−1,496,521→ 0 total(indirect: See Footnotes)→ Common Stock (623,550 underlying)
Footnotes (4)
- [F1]Each share of the Issuer's Series B preferred stock, Series B-1 preferred stock and Series C preferred stock was automatically converted on a 2.4-for-1 basis into common stock immediately prior to the closing of the Issuer's initial public offering. The shares of Series B preferred stock, Series B-1 preferred stock and Series C preferred stock had no expiration date.
- [F2]Delaware Street Capital Master Fund, L.P. directly owns all of the securities set forth in column 1. As the principal of (i) DSC Advisors, L.L.C., the general partner of DSC Advisors, L.P. ("IM"), the investment manager to Delaware Street Capital Master Fund, L.P., and (ii) DSC Managers, L.L.C. ("GP"), the general partner of Delaware Street Capital Master Fund, L.P. and Delaware Street Capital, L.P., Andrew Bluhm may be deemed the beneficial owner of a portion of the securities owned by Delaware Street Capital Master Fund, L.P. Delaware Street Capital, L.P. is a "feeder fund" that invests all or substantially all of its investable assets in Delaware Street Capital Master Fund, L.P. An affiliate of IM, GP has granted all discretion over Delaware Street Capital Master Fund, L.P.'s investment activities to IM. IM does not have a pecuniary interest in Delaware Street Capital Master Fund, L.P.
- [F3]Pursuant to Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported herein to the extent of his or its pecuniary interest therein, but this filing shall not be deemed an admission that any Reporting Person is or was, for the purposes of Section 16 of the Act of otherwise, a beneficial owner of any securities of the Issuer. Such beneficial ownership is and was expressly disclaimed by each of the Reporting Persons except to the extent of their pecuniary interests.
- [F4]The preferred stock warrant was automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision pursuant to which the holder receives a net number of shares of Series C preferred stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price (the "Cashless Exercise Provision"). The shares of Series C preferred stock have no expiration date..
Documents
Issuer
Neos Therapeutics, Inc.
CIK 0001467652
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001467652
Filing Metadata
- Form type
- 4
- Filed
- Jul 27, 8:00 PM ET
- Accepted
- Jul 28, 8:30 PM ET
- Size
- 32.2 KB