Filing Details

Accession Number:
0001193805-14-000201
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-11 18:19:06
Reporting Period:
2014-02-10
Filing Date:
2014-02-11
Accepted Time:
2014-02-11 18:19:06
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1454189 Auspex Pharmaceuticals Inc. ASPX Pharmaceutical Preparations (2834) 954862842
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1009258 Deerfield Management Co 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
1010823 L.p. Mgmt Deerfield 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1352546 E James Flynn 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1354395 Deerfield Special Situations Fund, L.p. 780 3Rd Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1483686 Deerfield Private Design International Ii, L.p. Bison Court, P.o. Box 3460
Road Town, Tortola D8 00000
No No Yes Yes
1483687 Deerfield Private Design Fund Ii, L.p. 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
1565099 Deerfield Special Situations International Master Fund, L.p. 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
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 2014-02-10 176,914 $0.00 273,514 No 4 C Indirect Through Deerfield Special Situations Fund, L.P.
Common Stock Acquisiton 2014-02-10 145,333 $0.00 223,733 No 4 C Indirect Through Deerfield Special Situations International Master Fund, L.P.
Common Stock Acquisiton 2014-02-10 450,502 $0.00 695,152 No 4 C Indirect Through Deerfield Private Design Fund II, L.P.
Common Stock Acquisiton 2014-02-10 516,241 $0.00 796,591 No 4 C Indirect Through Deerfield Private Design International II, L.P.
Common Stock Acquisiton 2014-02-10 96,600 $12.00 273,514 No 4 P Indirect Through Deerfield Special Situations Fund, L.P.
Common Stock Acquisiton 2014-02-10 78,400 $12.00 223,733 No 4 P Indirect Through Deerfield Special Situations International Master Fund, L.P.
Common Stock Acquisiton 2014-02-10 244,650 $12.00 695,152 No 4 P Indirect Through Deerfield Private Design Fund II, L.P.
Common Stock Acquisiton 2014-02-10 280,350 $12.00 796,591 No 4 P Indirect Through Deerfield Private Design International II, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect Through Deerfield Special Situations Fund, L.P.
No 4 C Indirect Through Deerfield Special Situations International Master Fund, L.P.
No 4 C Indirect Through Deerfield Private Design Fund II, L.P.
No 4 C Indirect Through Deerfield Private Design International II, L.P.
No 4 P Indirect Through Deerfield Special Situations Fund, L.P.
No 4 P Indirect Through Deerfield Special Situations International Master Fund, L.P.
No 4 P Indirect Through Deerfield Private Design Fund II, L.P.
No 4 P Indirect Through Deerfield Private Design International II, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series E Preferred Stock Disposition 2014-02-10 796,114 $0.00 176,914 $0.00
Common Stock Series E Preferred Stock Disposition 2014-02-10 654,002 $0.00 145,333 $0.00
Common Stock Series E Preferred Stock Disposition 2014-02-10 2,027,262 $0.00 450,502 $0.00
Common Stock Series E Preferred Stock Disposition 2014-02-10 2,323,086 $0.00 516,241 $0.00
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 C Indirect
0 No 4 C Indirect
Footnotes
  1. The Series E Preferred Stock was convertible at any time into the Issuer's Common Stock, on the basis of 2 shares of Common Stock per 9 shares of Preferred Stock, and had no expiration date. The Series E Preferred Stock converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering of Common Stock.
  2. This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons").
  3. Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Special Situations International Master Fund, L.P., Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. In accordance with Instruction 5 (b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.