SEC Form 4 · accession 0000897423-18-000055
Aquestive Therapeutics, Inc. · AQST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Douglas K Bratton
Director · 10% Owner
Bratton Capital Inc.
10% Owner
Bratton Capital Management, L.P.
10% Owner
Monoline Partners, L.P.
10% Owner
Period of report
Jul 24, 2018
Accepted (ET)
Jul 26, 2018 · 2:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001398733
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F8 | Jul 24, 2018 | P | 165,000 | $15.00 | A | 165,000 | I | See Footnotes |
| Common Stock | holding | — | — | — | 75,085 | D | ||
| Common StockF2,F3,F8 | holding | — | — | — | 2,249,077 | I | See Footnotes | |
| Common StockF2,F4,F8 | holding | — | — | — | 2,213,314 | I | See Footnotes | |
| Common StockF2,F5,F8 | holding | — | — | — | 4,032,907 | I | See Footnotes | |
| Common StockF2,F6,F8 | holding | — | — | — | 2,755,541 | I | See Footnotes | |
| Common StockF7,F8 | holding | — | — | — | 87,455 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are beneficially owned by MonoLine Partners, L.P. ("MonoLine").
- F2These securities are owned, as indicated, by MonoLine, MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director of Bratton and has voting and investment power over all shares held by the Monoline Entities.
- F3These securities are beneficially owned by MRX Partners.
- F4These securities are beneficially owned by Monoline Rx.
- F5These securities are beneficially owned by Monoline II.
- F6These securities are beneficially owned by Monoline III.
- F7These securities are beneficially owned by MonoSol Rx Genpar, L.P. ("Monosol"). Bratton is the general partner of Monosol. The Reporting Person, Douglas K. Bratton, is the sole director of Bratton and has voting and investment power over all shares held by Monosol.
- F8Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein.