Filing Details

Accession Number:
0001179110-13-011142
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-01 16:33:04
Reporting Period:
2013-07-01
Filing Date:
2013-07-01
Accepted Time:
2013-07-01 16:33:04
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1434868 Esperion Therapeutics Inc. ESPR Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1172252 N Andrew Schiff 888 7Th Avenue
30Th Floor
New York NY 10106
No No Yes No
1250195 Steve Elms 888 7Th Avenue,
30Th Floor
New York NY 10106
No No Yes No
1297291 J Dennis Purcell 888 7Th Avenue,
30Th Floor
New York NY 10106
No No Yes No
1350778 Aisling Capital Ii Lp 888 7Th Avenue
30Th Floor
New York NY 10106
No No Yes No
1376171 Aisling Capital Partners Llc 888 7Th Avenue,
30Th Floor
New York NY 10106
No No Yes No
1376172 Aisling Capital Partners, Lp 888 7Th Avenue,
30Th Floor
New York NY 10106
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-07-01 1,816,475 $0.00 1,816,475 No 4 C Indirect By Aisling Capital II, L.P.
Common Stock Acquisiton 2013-07-01 238,119 $14.00 2,054,594 No 4 P Indirect By Aisling Capital II, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Aisling Capital II, L.P.
No 4 P Indirect By Aisling Capital II, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Preferred Stock Disposition 2013-07-01 1,816,475 $0.00 1,816,475 $0.00
Series A Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-07-01 497,666 $0.00 497,666 $1.00
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-07-01 71,237 $0.00 71,237 $6.99
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 2018-02-12 No 4 J Indirect
71,237 2018-02-12 No 4 J Indirect
Footnotes
  1. The Series A Preferred Stock was automatically converted into Common Stock on a 6.986-for-1 basis upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.
  2. The reportable securities are owned directly by Aisling Capital II, LP ("Aisling"), and held indirectly by Aisling Capital Partners, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members of Aisling Partners. The individual managing members (collectively, the "Managers") of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Aisling GP, Aisling Partners, and the Managers share voting and dispositive power over the shares directly held by Aisling.
  3. The warrant is immediately exercisable.
  4. Upon the closing of the Issuer's initial public offering, this warrant to purchase shares of Series A Preferred Stock automatically converted on a 6.986-for-1 basis into a warrant to purchase shares of Common Stock, and the exercise price automatically adjusted accordingly. The transaction is listed solely for the purpose of reporting the change in the shares underlying the warrant and the change in exercise price.