Filing Details
- Accession Number:
- 0001104659-15-053970
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-07-28 20:29:55
- Reporting Period:
- 2015-07-28
- Filing Date:
- 2015-07-28
- Accepted Time:
- 2015-07-28 20:29:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1467652 | Neos Therapeutics Inc. | NEOS | Pharmaceutical Preparations (2834) | 270395455 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1021412 | W Jack Schuler | C/O Neos Therapeutics, Inc. 2940 N. Hwy 360 Grand Prairie TX 75050 | 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 | 2015-07-28 | 72,087 | $0.00 | 72,087 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2015-07-28 | 189,159 | $0.00 | 261,246 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2015-07-28 | 783,332 | $0.00 | 1,044,578 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2015-07-28 | 41,665 | $0.00 | 1,086,243 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2015-07-28 | 41,665 | $0.00 | 1,127,908 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2015-07-28 | 41,665 | $0.00 | 1,169,573 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2015-07-28 | 41,665 | $0.00 | 1,211,238 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2015-07-28 | 41,665 | $0.00 | 1,252,903 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2015-07-28 | 20,000 | $15.00 | 1,279,903 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Preferred Stock | Disposition | 2015-07-28 | 173,009 | $0.00 | 72,087 | $0.00 |
| Common Stock | Series B-1 Preferred Stock | Disposition | 2015-07-28 | 453,982 | $0.00 | 189,159 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-07-28 | 1,880,000 | $0.00 | 783,332 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-07-28 | 100,000 | $0.00 | 41,665 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-07-28 | 100,000 | $0.00 | 41,665 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-07-28 | 100,000 | $0.00 | 41,665 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-07-28 | 100,000 | $0.00 | 41,665 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-07-28 | 100,000 | $0.00 | 41,665 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 500,000 | No | 4 | C | Direct | ||
| 400,000 | No | 4 | C | Indirect | ||
| 300,000 | No | 4 | C | Indirect | ||
| 200,000 | No | 4 | C | Indirect | ||
| 100,000 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- 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.
- Security listed in column 1 is directly held by JS Grandchildren 2010 Continuation Trust. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- Security listed in column 1 is directly held by Schuler Grandchildren LLC. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- Security listed in column 1 is directly held by Tanya Eve Schuler Trust. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- Security listed in column 1 is directly held by Tino Hans Schuler Trust. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- Security listed in column 1 is directly held by Schuler Grandchildren LLC. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- Security listed in column 1 is directly held by Jack W. Schuler Living Trust, of which the Reporting Person is the sole trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
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