SEC Form 3 · accession 0001140361-18-033379
Aquestive Therapeutics, Inc. · AQST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Douglas K Bratton
Director · 10% Owner
MonoLine RX II, L.P.
10% Owner
MonoLine RX, L.P.
10% Owner
MRX Partners, LLC
10% Owner
Monoline RX III, L.P.
10% Owner
MonoSol Rx Genpar, L.P.
10% Owner
Period of report
Jul 24, 2018
Accepted (ET)
Jul 24, 2018 · 9:29 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 | holding | — | — | — | 75,085 | D | ||
| Common StockF2,F3,F4 | holding | — | — | — | 2,249,077 | I | See Footnotes | |
| Common StockF2,F3,F5 | holding | — | — | — | 2,213,314 | I | See Footnotes | |
| Common StockF2,F3,F6 | holding | — | — | — | 4,032,907 | I | See Footnotes | |
| Common StockF2,F3,F7 | holding | — | — | — | 2,755,541 | I | See Footnotes | |
| Common StockF2,F3,F8 | holding | — | — | — | 87,455 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of the Issuer's non-voting common stock. The non-voting shares will become regular voting common stock upon the consummation of the Issuer's initial public offering.
- F2These securities are owned, as indicated, by MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline"), MonoLine Rx II, L.P. ("Monoline II"), MonoLine Rx III, L.P. ("Monoline III") and Monosol Rx Genpar, L.P. ("Monosol Rx Genpar," and collectively with MRX Partners, Monoline, Monoline II and Monoline III, the "Monosol Entities"). Bratton Capital Management L.P. ("Bratton Capital Management") is the general partner of each of the Monosol Entities (other than Monoline Rx Genpar); Bratton Capital Inc. ("Bratton") is the general partner of Bratton Capital Management and Monosol Rx Genpar; and the Reporting Person, Douglas K. Bratton, is the sole director of Bratton.
- F3The Monosol Entities are each ultimately controlled by Mr. Bratton; Mr. Bratton has voting and investment power over all shares held by the Monosol Entities; and Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to beneficially own all shares held of record by the Monosol Entities. 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.
- F4These securities are owned of record by MRX Partners.
- F5These securities are owned of record by Monoline.
- F6These securities are owned of record by Monoline II.
- F7These securities are owned of record by Monoline III.
- F8These securities are owned of record by Monosol Rx Genpar.