4//SEC Filing
BRATTON DOUGLAS K 4
Accession 0001214659-21-003203
CIK 0001398733other
Filed
Mar 15, 8:00 PM ET
Accepted
Mar 16, 8:20 PM ET
Size
33.0 KB
Accession
0001214659-21-003203
Insider Transaction Report
Form 4
MRX Partners, LLC
10% Owner
Transactions
- Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total
Bratton Capital Inc.
10% Owner
Transactions
- Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total - Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes)
Bratton Capital Management, L.P.
10% Owner
Transactions
- Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total - Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes)
BRATTON DOUGLAS K
Director10% Owner
Transactions
- Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total - Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes)
Monoline Partners, L.P.
10% Owner
Transactions
- Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total - Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes)
MonoLine RX, L.P.
10% Owner
Transactions
- Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total - Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes)
MonoLine RX II, L.P.
10% Owner
Transactions
- Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total
Monoline RX III, L.P.
10% Owner
Transactions
- Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total - Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes)
MonoSol Rx Genpar, L.P.
10% Owner
Transactions
- Other
Common Stock
2021-03-12−40,404→ 47,051 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−524,675→ 1,688,639 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−97,598→ 2,657,943 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12+1,783,578→ 1,948,578 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−564,160→ 3,468,747 total(indirect: See Footnotes) - Other
Common Stock
2021-03-12−2,249,077→ 0 total(indirect: See Footnotes) - Gift
Common Stock
2021-03-09−62,500→ 12,585 total
Footnotes (12)
- [F1]Pro rata distribution for no consideration of shares of common stock of the Issuer ("Common Stock") by the applicable MonoLine Entity or Monosol (each as defined below), as indicated in the respective footnotes.
- [F10]These securities are beneficially owned by MonoLine.
- [F11]Gift of shares of Common Stock to charitable organization.
- [F12]Following the transactions reported on this Form 4, the Reporting Persons as listed in this Form 4 are the beneficial owners in the aggregate of 10,060,657 shares of Common Stock for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, representing a 27.8% ownership interest in the Issuer based on total shares outstanding of 36,213,969 as of March 5, 2021, such shares outstanding as reported in the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2020.
- [F2]These securities are owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the manager of MRX Partners and general partner of each of the other Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities.
- [F3]Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein.
- [F4]These securities are beneficially owned by Monoline Rx.
- [F5]These securities are beneficially owned by Monoline II.
- [F6]These securities are beneficially owned by Monoline III.
- [F7]These securities are beneficially owned by MonoSol Rx Genpar, L.P. ("Monosol"). Bratton is the general partner of Monosol. The Reporting Person, Douglas K. Bratton, is the sole director and President of Bratton and has voting and investment power over all shares held by Monosol.
- [F8]These securities are beneficially owned by MRX Partners.
- [F9]Shares of Common Stock acquired through pro rata distribution for no consideration by MRX Partners.
Documents
Issuer
Aquestive Therapeutics, Inc.
CIK 0001398733
Entity typeother
Related Parties
1- filerCIK 0001281933
Filing Metadata
- Form type
- 4
- Filed
- Mar 15, 8:00 PM ET
- Accepted
- Mar 16, 8:20 PM ET
- Size
- 33.0 KB