Filing Details

Accession Number:
0001192482-13-000238
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-19 12:47:23
Reporting Period:
2013-12-17
Filing Date:
2013-12-19
Accepted Time:
2013-12-19 12:47:23
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1361248 Tetralogic Pharmaceuticals Corp TLOG Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1291262 Md Douglas Reed C/O Tetralogic Pharmaceuticals Corp
343 Phoenixville Pike
Malvern PA 19355
Yes No No 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 2013-12-17 142,857 $7.00 142,857 No 4 P Indirect See footnote
Common Stock Acquisiton 2013-12-17 780,980 $0.00 923,837 No 4 C Indirect See footnote
Common Stock Acquisiton 2013-12-17 278,315 $7.00 1,202,152 No 4 C Indirect See footnote
Common Stock Acquisiton 2013-12-17 7,590 $6.40 1,209,742 No 4 X Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
No 4 C Indirect See footnote
No 4 C Indirect See footnote
No 4 X Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series C Convertible Stock Disposition 2013-12-17 780,980 $0.00 780,980 $0.00
Common Stock Convertible Notes Disposition 2013-12-17 278,315 $0.00 278,315 $7.00
Common Stock Warrants Disposition 2013-12-17 7,590 $0.00 7,590 $6.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 X Indirect
Footnotes
  1. 780,980 shares of Series C Convertible Preferred Stock converted to 780,980 shares of Common Stock at the time of the Company's initial public offering on December 17, 2013.
  2. The Convertible Notes and Accrued Interest automatically converted into Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering, at the initial public offering price of $7.00 per share, which occurred on December 17, 2013.
  3. The warrants were automatically exercised immediately prior to the closing of the Issuer's initial public offering for a number of shares of common stock equal to the warrant amount divided by $6.4022 and net exercised at the initial public offering price of $7.00 per share.
  4. The securities are held of record by Hatteras Venture Partners III, L.P. ("HVPIII") and Hatteras Venture Affiliates, L.P. ("HVAIII"). Hatteras Venture Advisors, LLC is the General Partner of HVPIIII. The reporting person, a partner in HVPIII and HVAIII, has voting and investment power over the shares beneficially owned by HVPIII and HVAIII, and disclaims beneficial ownership of the shares beneficially owned by HVPIII and HVAIII, except to the extent of his pecuniary interest therein.