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Filing Details

Accession Number:: 0001209191-14-009881
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-12 18:31:05
Reporting Period:: 2014-02-10

Filing Date:: 2014-02-12
Accepted Time:: 2014-02-12 18:31:05
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
1405712	Cmea Ventures Vii Lp	One Letterman Drive Building C, Suite Cm500 San Francisco CA 94129		No	No	Yes	No
1405972	Cmea Ventures Vii (Parallel) Lp	One Letterman Drive Building C, Suite Cm500 San Francisco CA 94129		No	No	Yes	No

Reported Non-Derivative Transactions

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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	3,670,065	$0.00	3,670,065	No	4	C	Direct
Common Stock	Acquisiton	2014-02-10	102,873	$12.00	3,772,938	No	4	P	Direct
Common Stock	Acquisiton	2014-02-10	94,103	$0.00	94,103	No	4	C	Indirect	By CMEA Ventures VII (Parallel), L.P.
Common Stock	Acquisiton	2014-02-10	2,688	$12.00	96,796	No	4	P	Indirect	By CMEA Ventures VII (Parallel), L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	P	Direct
No	4	C	Indirect	By CMEA Ventures VII (Parallel), L.P.
No	4	P	Indirect	By CMEA Ventures VII (Parallel), L.P.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Convertible Preferred Stock	Disposition	2014-02-10	1,635,551	$0.00	363,456	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-02-10	5,394,437	$0.00	1,198,764	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2014-02-10	8,510,898	$0.00	1,891,310	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2014-02-10	1,397,873	$0.00	310,638	$0.00
Series C Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	211,629	$0.00	211,629	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	47,028	$0.00	47,028	$3.88
Series C Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	193,348	$0.00	193,348	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	42,966	$0.00	42,966	$3.88
Series C Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	190,535	$0.00	190,535	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	42,340	$0.00	42,340	$3.88
Series D Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	545,243	$0.00	545,243	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	121,165	$0.00	121,165	$3.88
Series D Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	290,022	$0.00	290,022	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	64,449	$0.00	64,449	$3.88

Remaning Holdings	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
0	2014-05-22	No	4	C	Indirect
47,028	2014-05-22	No	4	C	Indirect
0	2014-10-09	No	4	C	Indirect
42,966	2014-10-09	No	4	C	Indirect
0	2015-01-08	No	4	C	Indirect
42,340	2015-01-08	No	4	C	Indirect
0	2016-12-15	No	4	C	Indirect
121,165	2016-12-15	No	4	C	Indirect
0	2017-07-18	No	4	C	Indirect
64,449	2017-07-18	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 convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.
The securities are held as follows: 354,370 shares by CMEA Ventures VII, L.P. ("CMEA") and 9,086 shares by CMEA Ventures VII (Parallel), L.P. ("CMEA (Parallel)").
The securities are held by CMEA and CMEA (Parallel), as described in column 7.
The securities are held as follows: 1,168,795 shares by CMEA and 29,969 shares by CMEA (Parallel).
The securities are held as follows: 1,844,028 shares by CMEA and 47,282 shares by CMEA (Parallel).
The securities are held as follows: 308,872 shares by CMEA and 7,766 shares by CMEA (Parallel).
Automatic conversion, in connection with the Issuer's initial public offering, of warrants to purchase Convertible Preferred Stock into warrants to purchase Common Stock. The warrants converted at a rate of 4.5 shares of Preferred Stock to 1 share of Common Stock.
The warrant is immediately exercisable.
The securities are held as follows: 206,339 shares by CMEA and 5,290 shares by CMEA (Parallel).
The securities are held as follows: 45,853 shares by CMEA and 1,175 shares by CMEA (Parallel).
The securities are held as follows: 188,515 shares by CMEA and 4,833 shares by CMEA (Parallel).
The securities are held as follows: 41,892 shares by CMEA and 1,074 shares by CMEA (Parallel).
The securities are held as follows: 185,772 shares by CMEA and 4,763 shares by CMEA (Parallel).
The securities are held as follows: 41,282 shares by CMEA and 1,058 shares by CMEA (Parallel).
The securities are held as follows: 531,612 shares by CMEA and 13,631 shares by CMEA (Parallel).
The securities are held as follows: 118,136 shares by CMEA and 3,029 shares by CMEA (Parallel).
The securities are held as follows: 282,772 shares by CMEA and 7,250 shares by CMEA (Parallel).
The securities are held as follows: 62,838 shares by CMEA and 1,611 shares by CMEA (Parallel).