SEC Form 4 · accession 0001209191-15-007163
Auspex Pharmaceuticals, Inc. · ASPX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney A Ferguson
Director · 10% Owner
Period of report
Jan 28, 2015
Accepted (ET)
Jan 28, 2015 · 6:53 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 | Jan 28, 2015 | S | 270,000 | $53.11 | D | 2,500,589 | I | See footnote. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person sold shares to the underwriters in connection with the sale of Common Stock by the Reporting Person.
- F2The shares are held in the name of Panorama Capital, L.P. ("Panorama"). The reporting person is a managing director of Panorama Capital Management, LLC, the general partner of Panorama, and shares voting and investment control over the shares. The reporting person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein.