SEC Form 4 · accession 0001012975-15-000075
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 28, 2015
Accepted (ET)
Jan 30, 2015 · 2:17 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 StockF1,F2,F3 | Jan 28, 2015 | S | 730,000 | $53.11 | D | 4,835,731 | I | see footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities were sold to the underwriter by the Reporting Persons in connection with a secondary offering of the Issuer's securities as follows: 719,780 shares by Thomas, McNerney & Partners II, L.P. ("TMP II"), 7,519 shares by TMP Nominee II, LLC ("TMPN II") and 2,701 shares by TMP Associates II, L.P. ("TMPA II").
- F2Includes 4,768,041 shares held in the name of TMP II; 49,805 shares held in the name of TMPN II; and 17,885 shares 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 beneficial interest in the reported securities except to the extent of its pecuniary interest.