Filing Details

Accession Number:
0001209191-14-057156
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-09 19:50:11
Reporting Period:
2014-05-14
Filing Date:
2014-09-09
Accepted Time:
2014-09-09 18:50:11
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
1369574 Thomas, Mcnerney & Partners Ii L.p. 60 South Sixth Street, Suite 3620
Minneapolis MN 55402
No No Yes No
1383035 Tmp Associates Ii Lp 60 South Sixth Street, Suite 3620
Minneapolis MN 55402
No No Yes No
1436054 Tmp Nominee Ii, Llc 60 South Sixth Street, Suite 3620
Minneapolis MN 55402
No 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 2014-05-14 65,839 $3.88 5,232,624 No 4 X Indirect see footnote
Common Stock Disposition 2014-05-14 12,400 $20.60 5,220,224 No 4 S Indirect see footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 X Indirect see footnote
No 4 S Indirect see footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Common Stock Warrant Disposition 2014-05-14 65,839 $0.00 65,839 $3.88
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-05-22 No 4 X Indirect
Footnotes
  1. The securities are held as follows: 64,918 shares by Thomas, McNerney & Partners II, L.P. ("TMP II"), 678 shares by TMP Nominee II, LLC ("TMPN II") and 243 shares by TMP Associates II, L.P. ("TMPA II").
  2. Includes 5,159,369 shares held in the name of TMP II; 53,345 shares held in the name of TMPN II; and 19,910 shares held in the name of 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.
  4. On May 14, 2014, TMP II, TMPN II, and TMPA II exercised warrants to purchase an aggregate 65,839 shares of Auspex Pharmaceuticals, Inc. ("Auspex") common stock for $3.879 per share. The warrants were exercised on a cashless basis, resulting in Auspex withholding 12,400 of the warrant shares to pay the exercise price and issuing a net 53,439 shares of common stock.
  5. The securities were disposed of as follows: 12,226 shares by TMP II, 128 shares by TMPN II and 46 shares by TMPA II.
  6. Includes 5,147,143 shares held in the name of TMP II; 53,217 shares held in the name of TMPN II; and 19,864 shares held in the name lf TMPA II.
  7. The warrant was immediately exercisable.