SEC Form 4 · accession 0001012975-15-000023

Auspex Pharmaceuticals, Inc. · ASPX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

Thomas, McNerney & Partners II L.P.

10% Owner

TMP Associates II LP

10% Owner

TMP Nominee II, LLC

10% Owner

Thomas, McNerney & Partners II, LLC

Director · 10% Owner

Period of report

Jan 8, 2015

Accepted (ET)

Jan 12, 2015 · 4:32 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001454189

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2,F3	Jan 8, 2015	M	319,135	$3.879	A	5,589,739	I	see footnote
Common Stock^F5,F6,F3	Jan 8, 2015	D	24,008	$51.574	D	5,565,731	I	see footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Common Stock Warrant^F7,F3,F10	$3.879	Jan 8, 2015	M	59,277	D	—	Jan 8, 2015	Common Stock	59,277	I
Common Stock Warrant^F8,F3,F10	$3.879	Jan 8, 2015	M	169,630	D	—	Dec 15, 2016	Common Stock	169,630	I
Common Stock Warrant^F9,F3,F10	$3.879	Jan 8, 2015	M	90,228	D	—	Jul 18, 2017	Common Stock	90,228	I

Explanation of responses

F1The securities are held as follows: 314,670 shares by Thomas, McNerney & Partners II, L.P. ("TMP II"), 3,286 shares by TMP Nominee II, LLC ("TMPN II") and 1,179 shares by TMP Associates II, L.P. ("TMPA II").
F10The warrant was immediately exercisable.
F2Includes 5,511,490 shares held in the name of TMP II; 57,572 shares held in the name of TMPN II; and 20,677shares held in the name of TMPA II.
F3The securities are held in the name of TMP II, TMPN II and TMPA II. Thomas, McNerney & Partners II, LLC ("TMP II LLC") is the general partner of TMP II and TMPA II. TMP II LLC disclaims its pecuniary interest in the reported securities except to the extent of its economic interest.
F4On January 8, 2015, TMP II, TMPN II, and TMPA II exercised warrants to purchase an aggregate 319,135 shares of Auspex Pharmaceuticals, Inc. ("Auspex") common stock for $3.879 per share. The warrants were exercised on a cashless basis, resulting in Auspex withholding 24,008 of the warrant shares to pay the exercise price and issuing a net 295,127 shares of common stock.
F5The securities were disposed of as follows: 23,669 shares by TMP II, 248 shares by TMPN II and 91 shares by TMPA II.
F6Includes 5,487,821 shares held in the name of TMP II; 57,324 shares held in the name of TMPN II; and 20,586 shares held in the name of TMPA II.
F7The securities are held as follows: 58,448 shares by TMP II, 610 shares by TMPN II and 219 shares by TMPA II.
F8The securities are held as follows: 167,256 shares by TMP II, 1,747 shares by TMPN II and 627 shares by TMPA II.
F9The securities are held as follows: 88,966 shares by TMP II, 929 shares by TMPN II and 333 shares by TMPA II.