Filing Details

Accession Number:
0000904454-14-000771
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-26 11:06:09
Reporting Period:
2014-11-25
Filing Date:
2014-11-26
Accepted Time:
2014-11-26 11:06:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1618835 Neothetics Inc. NEOT Pharmaceutical Preparations (2834) 208527075
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1013425 I Jesse Treu C/o Domain Associates, Llc
One Palmer Square
Princeton NJ 08542
No No Yes No
1024000 C James Blair C/o Domain Associates, Llc
One Palmer Square
Princeton NJ 08542
No No Yes No
1196863 Nicole Vitullo C/o Domain Associates, Llc
One Palmer Square
Princeton NJ 08542
No No Yes No
1207786 H Brian Dovey C/o Domain Associates, Llc
One Palmer Square
Princeton NJ 08542
No No Yes No
1207789 K Kathleen Schoemaker C/o Domain Associates, Llc
One Palmer Square
Princeton NJ 08542
No No Yes No
1354718 K Brian Halak C/o Domain Associates, Llc
One Palmer Square
Princeton NJ 08542
No No Yes No
1374150 P L Vii Parters Domain C/o Domain Associates, Llc
One Palmer Square
Princeton NJ 08542
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 2014-11-25 2,921,064 $0.00 2,921,064 No 4 C Direct
Common Stock Acquisiton 2014-11-25 92,105 $8.54 3,013,169 No 4 M Direct
Common Stock Disposition 2014-11-25 56,185 $14.00 2,956,984 No 4 F Direct
Common Stock Acquisiton 2014-11-25 165,790 $8.54 3,122,774 No 4 M Direct
Common Stock Disposition 2014-11-25 101,132 $14.00 3,021,642 No 4 F Direct
Common Stock Acquisiton 2014-11-25 70,000 $14.00 3,091,642 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Preferred Stock Disposition 2014-11-25 737,422 $0.00 120,888 $0.00
Common Stock Series B Preferred Stock Disposition 2014-11-25 6,111,968 $0.00 1,142,452 $0.00
Common Stock Series B-2 Preferred Stock Disposition 2014-11-25 2,164,305 $0.00 468,848 $0.00
Common Stock Series C Preferred Stock Disposition 2014-11-25 7,252,144 $0.00 1,188,876 $0.00
Common Stock Series B-2 Preferred Stock Warrant (Right to Buy) Disposition 2014-11-25 92,105 $0.00 92,105 $8.54
Common Stock Series C Preferred Stock Warrant (Right to Buy) Disposition 2014-11-25 165,790 $0.00 165,790 $8.54
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 M Direct
0 No 4 M Direct
Footnotes
  1. The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
  2. As managing members of Domain Associates, LLC, each Reporting Owner listed below may also be deemed to indirectly beneficially 24,000 shares of Common Stock held by Domain Associates, LLC.
  3. As managing members of the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4.
  4. All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration. The preferred stock had no expiration date.
  5. Immediately prior to the closing of the IPO the Warrants were net exercised for shares of Preferred Stock, which then automatically converted into shares of Common Stock. The net exercise is based on a fair market value of the IPO price of the Common Stock, which was $14.00 per share.