SEC Form 4 · accession 0001209191-15-027154
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
Mar 16, 2015
Accepted (ET)
Mar 17, 2015 · 5:25 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 Stock | Mar 16, 2015 | M | 3,000 | $0.90 | A | 3,983 | D | |
| Common StockF2 | Mar 16, 2015 | S | 400 | $79.549 | D | 3,583 | D | |
| Common StockF3 | Mar 16, 2015 | S | 2,600 | $80.075 | D | 983 | D |
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)F4 | $0.90 | Mar 16, 2015 | M | 3,000 | D | — | Mar 10, 2021 | Common Stock | 3,000 | 25,274 | D |
Explanation of responses
- F1The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 23, 2014.
- F2This transaction was executed in multiple trades at prices ranging from a low of $79.14 to a high of $79.78. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from a low of $79.98 to a high of $80.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4The original option grant to purchase 30,934 shares of common stock was subject to monthly vesting over a four-year period beginning on February 15, 2011 and became fully vested on January 15, 2015.