4//SEC Filing
Auspex Pharmaceuticals, Inc. 4
Accession 0001209191-14-009873
CIK 0001454189operating
Filed
Feb 11, 7:00 PM ET
Accepted
Feb 12, 6:26 PM ET
Size
12.0 KB
Accession
0001209191-14-009873
Insider Transaction Report
Form 4
FERGUSON RODNEY A
Director10% Owner
Transactions
- Conversion
Common Stock
2014-02-10+2,437,255→ 2,437,255 total(indirect: See footnote) - Purchase
Common Stock
2014-02-10$12.00/sh+333,334$4,000,008→ 2,770,589 total(indirect: See footnote) - Conversion
Series D Convertible Preferred Stock
2014-02-10−8,700,698→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (1,933,488 underlying) - Conversion
Series E Convertible Preferred Stock
2014-02-10−2,266,952→ 0 total(indirect: See footnote)Exercise: $0.00→ Common Stock (503,767 underlying)
Footnotes (3)
- [F1]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.
- [F2]The shares are held in the name of Panorama Capital, L.P. ("Panorama"). The reporting person is a managing director of Panorama Capital Management, LLC, the general partner of Panorama, and shares voting and investment control over the shares. The reporting person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein.
- [F3]The convertible preferred stock is convertible at any time, at the holder's election and has no expiration date.
Documents
Issuer
Auspex Pharmaceuticals, Inc.
CIK 0001454189
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001454189
Filing Metadata
- Form type
- 4
- Filed
- Feb 11, 7:00 PM ET
- Accepted
- Feb 12, 6:26 PM ET
- Size
- 12.0 KB