4//SEC Filing
Auspex Pharmaceuticals, Inc. 4
Accession 0001209191-14-009891
CIK 0001454189operating
Filed
Feb 11, 7:00 PM ET
Accepted
Feb 12, 6:36 PM ET
Size
44.1 KB
Accession
0001209191-14-009891
Insider Transaction Report
Form 4
Zisson Alex
Director10% Owner
Transactions
- Purchase
Common Stock
2014-02-10$12.00/sh+83,334$1,000,008→ 5,166,785 total(indirect: See footnote) - Conversion
Series C Convertible Preferred Stock
2014-02-10−7,552,207→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,678,268 underlying) - Conversion
Common Stock
2014-02-10+5,083,451→ 5,083,451 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2014-02-10−2,289,771→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (508,838 underlying) - Conversion
Series D Convertible Preferred Stock
2014-02-10−11,915,254→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (2,647,835 underlying) - Conversion
Series E Convertible Preferred Stock
2014-02-10−1,118,298→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (248,510 underlying) - Conversion
Preferred Stock Warrant
2014-02-10−296,281→ 0 total(indirect: See footnote)Exercise: $0.86Exp: 2014-05-22→ Series C Preferred Stock (296,281 underlying) - Conversion
Common Stock Warrant
2014-02-10+65,839→ 65,839 total(indirect: See footnote)Exercise: $3.88Exp: 2014-05-22→ Common Stock (65,839 underlying) - Conversion
Preferred Stock Warrant
2014-02-10−270,687→ 0 total(indirect: See footnote)Exercise: $0.86Exp: 2014-10-09→ Series C Preferred Stock (270,687 underlying) - Conversion
Common Stock Warrant
2014-02-10+60,151→ 60,151 total(indirect: See footnote)Exercise: $3.88Exp: 2014-10-09→ Common Stock (60,151 underlying) - Conversion
Preferred Stock Warrant
2014-02-10−266,750→ 0 total(indirect: See footnote)Exercise: $0.86Exp: 2015-01-08→ Series C Preferred Stock (266,750 underlying) - Conversion
Common Stock Warrant
2014-02-10+59,277→ 59,277 total(indirect: See footnote)Exercise: $3.88Exp: 2015-01-08→ Common Stock (59,277 underlying) - Conversion
Preferred Stock Warrant
2014-02-10−763,340→ 0 total(indirect: See footnote)Exercise: $0.86Exp: 2016-12-15→ Series D Preferred Stock (763,340 underlying) - Conversion
Common Stock Warrant
2014-02-10+169,630→ 169,630 total(indirect: See footnote)Exercise: $3.88Exp: 2016-12-15→ Common Stock (169,630 underlying) - Conversion
Preferred Stock Warrant
2014-02-10−406,032→ 0 total(indirect: See footnote)Exercise: $0.86Exp: 2017-07-18→ Series D Preferred Stock (406,032 underlying) - Conversion
Common Stock Warrant
2014-02-10+90,228→ 90,228 total(indirect: See footnote)Exercise: $3.88Exp: 2017-07-18→ Common Stock (90,228 underlying)
Footnotes (21)
- [F1]Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock. Every 4.5 shares of preferred stock converted into one share of common stock.
- [F10]Automatic conversion, in connection with the Issuer's initial public offering, of warrants to purchase convertible preferred stock into warrants to purchase common stock. Every 4.5 shares of preferred stock converted into 1 share of common stock.
- [F11]The warrant is immediately exercisable.
- [F12]The securities are held as follows: 292,134 shares by TMP II, 3,051 shares by TMPN II and 1,096 shares by TMPA II.
- [F13]The securities are held as follows: 64,918 shares by TMP II, 678 shares by TMPN II and 243 shares by TMPA II.
- [F14]The securities are held as follows: 266,898 shares by TMP II, 2,788 shares by TMPN II and 1,001 shares by TMPA II.
- [F15]The securities are held as follows: 59,310 shares by TMP II, 619 shares by TMPN II and 222 shares by TMPA II.
- [F16]The securities are held as follows: 263,016 shares by TMP II, 2,747 shares by TMPN II and 987 shares by TMPA II.
- [F17]The securities are held as follows: 58,448 shares by TMP II, 610 shares by TMPN II and 219 shares by TMPA II.
- [F18]The securities are held as follows: 752,654 shares by TMP II, 7,862 shares by TMPN II and 2,824 shares by TMPA II.
- [F19]The securities are held as follows: 167,256 shares by TMP II, 1,747 shares by TMPN II and 627 shares by TMPA II.
- [F2]Includes 5,012,284 shares held in the name of Thomas, McNerney & Partners II, L.P. ("TMP II"); 52,359 shares held in the name of TMP Nominee II, LLC ("TMPN II"); and 18,808 shares held in the name of TMP Associates II, L.P. ("TMPA II").
- [F20]The securities are held as follows: 400,348 shares by TMP II, 4,182 shares by TMPN II and 1,502 shares by TMPA II.
- [F21]The securities are held as follows: 88,966 shares by TMP II, 929 shares by TMPN II and 333 shares by 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 TMPN II and has shared voting and dispositive power of 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]The securities are held as follows: 82,167 shares by TMP II, 859 shares by TMPN II and 308 shares by TMPA II.
- [F5]The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.
- [F6]The securities are held as follows: 501,714 shares by TMP II, 5,241 shares by TMPN II and 1,883 shares by TMPA II.
- [F7]The securities are held as follows: 1,654,773 shares by TMP II, 17,286 shares by TMPN II and 6,209 shares by TMPA II.
- [F8]The securities are held as follows: 2,610,765 shares by TMP II, 27,273 shares by TMPN II and 9,797 shares by TMPA II.
- [F9]The securities are held as follows: 245,032 shares by TMP II, 2,559 shares by TMPN II and 919 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
- Feb 11, 7:00 PM ET
- Accepted
- Feb 12, 6:36 PM ET
- Size
- 44.1 KB