SEC Form 4 · accession 0001193805-15-000681
Auspex Pharmaceuticals, Inc. · ASPX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
DEERFIELD MANAGEMENT CO
10% Owner · Other
Deerfield Mgmt L.P.
10% Owner · Other
DEERFIELD PARTNERS, LP
10% Owner · Other
James E Flynn
10% Owner · Other
Deerfield Special Situations Fund, L.P.
10% Owner · Other
Deerfield Private Design International II, L.P.
10% Owner · Other
Deerfield Private Design Fund II, L.P.
10% Owner · Other
Deerfield International Master Fund, L.P.
10% Owner · Other
Period of report
May 5, 2015
Accepted (ET)
May 7, 2015 · 1:38 pm EDT
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 | May 5, 2015 | U | 490,069 | — | D | 0 | I | Through Deerfield Special Situations Fund, L.P. |
| Common StockF1,F2,F3 | May 5, 2015 | U | 953,286 | — | D | 0 | I | Through Deerfield Partners, L.P. |
| Common StockF1,F2,F3 | May 5, 2015 | U | 1,182,943 | — | D | 0 | I | Through Deerfield International Master Fund, L.P. |
| Common StockF1,F2,F3 | May 5, 2015 | U | 849,426 | — | D | 0 | I | Through Deerfield Private Design Fund II, L.P. |
| Common StockF1,F2,F3 | May 5, 2015 | U | 973,379 | — | D | 0 | I | Through Deerfield Private Design International II, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On May 5, 2015, the Issuer announced the closing of its merger with Aurum Merger Sub, Inc., a wholly-owned subsidiary of Teva Pharmaceutical Industries, Ltd. ("Teva"). At the effective time of the merger, each outstanding share of Common Stock was converted automatically into the right to receive $101, and the Issuer became a wholly-owned subsidiary of Teva.
- F2This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P., Deerfield International Master Fund, L.P., Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
- F3In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Remarks
Jonathan Isler, Attorney-in-Fact: Power of Attorney, which is hereby incorporated by reference to Exhibit 24 to a Form 3 with regard to Avalanche Biotechnologies, Inc. filed with the Securities and Exchange Commission on July 30, 2014 by Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P., Deerfield Special Situations Fund, L.P., Deerfield Special Situations International Master Fund, L.P., Deerfield Private Design Fund III, L.P. and James E. Flynn.