Filing Details
- Accession Number:
- 0001209191-15-014657
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-17 17:39:05
- Reporting Period:
- 2015-01-08
- Filing Date:
- 2015-02-17
- Accepted Time:
- 2015-02-17 17:39:05
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-01-08 | 41,282 | $3.88 | 3,261,281 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2015-01-08 | 3,260 | $49.13 | 3,258,021 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-01-08 | 1,058 | $3.88 | 83,673 | No | 4 | X | Indirect | By: CMEA Ventures VII (Parallel) LP |
| Common Stock | Disposition | 2015-01-08 | 84 | $49.13 | 83,589 | No | 4 | S | Indirect | By: CMEA Ventures VII (Parallel) LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Direct | |
| No | 4 | S | Direct | |
| No | 4 | X | Indirect | By: CMEA Ventures VII (Parallel) LP |
| No | 4 | S | Indirect | By: CMEA Ventures VII (Parallel) LP |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant (right to buy) | Disposition | 2015-01-08 | 41,282 | $0.00 | 41,282 | $3.88 |
| Common Stock | Warrant (right to buy)) | Disposition | 2015-01-08 | 1,058 | $0.00 | 1,058 | $3.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-01-08 | 2015-01-08 | No | 4 | X | Direct |
| 0 | 2010-01-08 | 2015-01-08 | No | 4 | X | Indirect |
Footnotes
- On January 8, 2015, the reporting person exercised a warrant to purchase 41,282 shares of ASPX common stock for $3.879 a share. The reporting person paid the exercise price on a cashless basis, resulting in ASPX's withholding 3,260 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares.
- On January 8, 2015, the reporting person exercised a warrant to purchase 1,058 shares of ASPX common stock for $3.879 a share. The reporting person paid the exercise price on a cashless basis, resulting in ASPX's withholding 84 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares.
Billionaire Hedge Funds
