Filing Details
- Accession Number:
- 0001209191-14-009873
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-12 18:26:19
- Reporting Period:
- 2014-02-10
- Filing Date:
- 2014-02-12
- Accepted Time:
- 2014-02-12 18:26:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1266130 | A Rodney Ferguson | Panorama Capital, L.p. 1999 South Bascom Avenue Suite 700 Campbell CA 95008 | Yes | 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 | 2014-02-10 | 2,437,255 | $0.00 | 2,437,255 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2014-02-10 | 333,334 | $12.00 | 2,770,589 | No | 4 | P | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 D Convertible Preferred Stock | Disposition | 2014-02-10 | 8,700,698 | $0.00 | 1,933,488 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2014-02-10 | 2,266,952 | $0.00 | 503,767 | $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 |
Footnotes
- Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock. Every 4.5 shares of preferred stock converted into one share of common stock.
- The shares are held in the name of Panorama Capital, L.P. ("Panorama"). The reporting person is a managing director of Panorama Capital Management, LLC, the general partner of Panorama, and shares voting and investment control over the shares. The reporting person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein.
- The convertible preferred stock is convertible at any time, at the holder's election and has no expiration date.
Billionaire Hedge Funds
