Filing Details

Accession Number:
0001209191-14-009891
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-12 18:36:50
Reporting Period:
2014-02-10
Filing Date:
2014-02-12
Accepted Time:
2014-02-12 18:36:50
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
1512058 Alex Zisson 3366 N. Torrey Pines Court, Suite 225
San Diego CA 92037
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 5,083,451 $0.00 5,083,451 No 4 C Indirect See footnote
Common Stock Acquisiton 2014-02-10 83,334 $12.00 5,166,785 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 B Convertible Preferred Stock Disposition 2014-02-10 2,289,771 $0.00 508,838 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2014-02-10 7,552,207 $0.00 1,678,268 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2014-02-10 11,915,254 $0.00 2,647,835 $0.00
Common Stock Series E Convertible Preferred Stock Disposition 2014-02-10 1,118,298 $0.00 248,510 $0.00
Series C Preferred Stock Preferred Stock Warrant Disposition 2014-02-10 296,281 $0.00 296,281 $0.86
Common Stock Common Stock Warrant Acquisiton 2014-02-10 65,839 $0.00 65,839 $3.88
Series C Preferred Stock Preferred Stock Warrant Disposition 2014-02-10 270,687 $0.00 270,687 $0.86
Common Stock Common Stock Warrant Acquisiton 2014-02-10 60,151 $0.00 60,151 $3.88
Series C Preferred Stock Preferred Stock Warrant Disposition 2014-02-10 266,750 $0.00 266,750 $0.86
Common Stock Common Stock Warrant Acquisiton 2014-02-10 59,277 $0.00 59,277 $3.88
Series D Preferred Stock Preferred Stock Warrant Disposition 2014-02-10 763,340 $0.00 763,340 $0.86
Common Stock Common Stock Warrant Acquisiton 2014-02-10 169,630 $0.00 169,630 $3.88
Series D Preferred Stock Preferred Stock Warrant Disposition 2014-02-10 406,032 $0.00 406,032 $0.86
Common Stock Common Stock Warrant Acquisiton 2014-02-10 90,228 $0.00 90,228 $3.88
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
0 2014-05-22 No 4 C Indirect
65,839 2014-05-22 No 4 C Indirect
0 2014-10-09 No 4 C Indirect
60,151 2014-10-09 No 4 C Indirect
0 2015-01-08 No 4 C Indirect
59,277 2015-01-08 No 4 C Indirect
0 2016-12-15 No 4 C Indirect
169,630 2016-12-15 No 4 C Indirect
0 2017-07-18 No 4 C Indirect
90,228 2017-07-18 No 4 C Indirect
Footnotes
  1. 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.
  2. Includes 5,012,284 shares held in the name of Thomas, McNerney & Partners II, L.P. ("TMP II"); 52,359 shares held in the name of TMP Nominee II, LLC ("TMPN II"); and 18,808 shares held in the name of TMP Associates II, L.P. ("TMPA II").
  3. The securities are held in the name of TMP II, TMPN II and TMPA II. Thomas, McNerney & Partners II, LLC (TMP II LLC) is the general partner of TMP II and TMPA II. Alex Zisson is a manager of TMP II LLC and TMPN II and has shared voting and dispositive power of the securities held by TMP II and TMPA II, but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
  4. The securities are held as follows: 82,167 shares by TMP II, 859 shares by TMPN II and 308 shares by TMPA II.
  5. The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.
  6. The securities are held as follows: 501,714 shares by TMP II, 5,241 shares by TMPN II and 1,883 shares by TMPA II.
  7. The securities are held as follows: 1,654,773 shares by TMP II, 17,286 shares by TMPN II and 6,209 shares by TMPA II.
  8. The securities are held as follows: 2,610,765 shares by TMP II, 27,273 shares by TMPN II and 9,797 shares by TMPA II.
  9. The securities are held as follows: 245,032 shares by TMP II, 2,559 shares by TMPN II and 919 shares by TMPA II.
  10. Automatic conversion, in connection with the Issuer's initial public offering, of warrants to purchase convertible preferred stock into warrants to purchase common stock. Every 4.5 shares of preferred stock converted into 1 share of common stock.
  11. The warrant is immediately exercisable.
  12. The securities are held as follows: 292,134 shares by TMP II, 3,051 shares by TMPN II and 1,096 shares by TMPA II.
  13. The securities are held as follows: 64,918 shares by TMP II, 678 shares by TMPN II and 243 shares by TMPA II.
  14. The securities are held as follows: 266,898 shares by TMP II, 2,788 shares by TMPN II and 1,001 shares by TMPA II.
  15. The securities are held as follows: 59,310 shares by TMP II, 619 shares by TMPN II and 222 shares by TMPA II.
  16. The securities are held as follows: 263,016 shares by TMP II, 2,747 shares by TMPN II and 987 shares by TMPA II.
  17. The securities are held as follows: 58,448 shares by TMP II, 610 shares by TMPN II and 219 shares by TMPA II.
  18. The securities are held as follows: 752,654 shares by TMP II, 7,862 shares by TMPN II and 2,824 shares by TMPA II.
  19. The securities are held as follows: 167,256 shares by TMP II, 1,747 shares by TMPN II and 627 shares by TMPA II.
  20. The securities are held as follows: 400,348 shares by TMP II, 4,182 shares by TMPN II and 1,502 shares by TMPA II.
  21. The securities are held as follows: 88,966 shares by TMP II, 929 shares by TMPN II and 333 shares by TMPA II.