SEC Form 4 · accession 0001209191-15-009614
Auspex Pharmaceuticals, Inc. · ASPX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Stamler
Officer — Chief Medical Officer
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 8:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001454189
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $59.66 | Feb 2, 2015 | A | 60,000 | A | — | Feb 1, 2025 | Common Stock | 60,000 | 60,000 | D |
| Restricted Stock UnitsF2,F3 | — | Feb 2, 2015 | A | 30,000 | A | — | — | Common stock | 30,000 | 30,000 | D |
Explanation of responses
- F11/48th of the stock option vests immediately upon grant and 1/48th vests at the end of each month from February 28, 2015 through December 31, 2018, subject to the recipient's Continuous Service (as defined in the Company's 2014 Equity Incentive Plan).
- F2Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F31/4 of the restricted stock unit shall vest and convert into shares of the Company's common stock on each March 15, 2016, 2017, 2018 and 2019, subject to the recipient's Continuous Service (as defined in the Company's 2014 Equity Incentive Plan).