SEC Form 4 · accession 0001209191-15-014657
Auspex Pharmaceuticals, Inc. · ASPX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 8, 2015
Accepted (ET)
Feb 17, 2015 · 5:39 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 | Jan 8, 2015 | X | 41,282 | $3.879 | A | 3,261,281 | D | |
| Common Stock | Jan 8, 2015 | S | 3,260 | $49.129 | D | 3,258,021 | D | |
| Common Stock | Jan 8, 2015 | X | 1,058 | $3.879 | A | 83,673 | I | By: CMEA Ventures VII (Parallel) LP |
| Common Stock | Jan 8, 2015 | S | 84 | $49.129 | D | 83,589 | I | By: CMEA Ventures VII (Parallel) LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy) | $3.879 | Jan 8, 2015 | X | 41,282 | D | Jan 8, 2010 | Jan 8, 2015 | Common Stock | 41,282 | 0 | D |
| Warrant (right to buy)) | $3.879 | Jan 8, 2015 | X | 1,058 | D | Jan 8, 2010 | Jan 8, 2015 | Common Stock | 1,058 | 0 | I |
Explanation of responses
- F1On January 8, 2015, the reporting person exercised a warrant to purchase 41,282 shares of ASPX common stock for $3.879 a share. The reporting person paid the exercise price on a cashless basis, resulting in ASPX's withholding 3,260 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares.
- F2On January 8, 2015, the reporting person exercised a warrant to purchase 1,058 shares of ASPX common stock for $3.879 a share. The reporting person paid the exercise price on a cashless basis, resulting in ASPX's withholding 84 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares.