SEC Form 4 · accession 0001209191-15-032709
Auspex Pharmaceuticals, Inc. · ASPX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 2, 2015
Accepted (ET)
Apr 6, 2015 · 5:22 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 | Apr 2, 2015 | X | 292,500 | $29.79 | D | 2,478,021 | D | |
| Common Stock | Apr 2, 2015 | X | 7,500 | $29.79 | D | 63,589 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Call Option (obligation to sell) | $29.79 | Apr 2, 2015 | X | 1 | D | Apr 2, 2015 | Apr 2, 2015 | Common Stock | 292,500 | 0 | D |
| Put option (right to sell) | $17.65 | Apr 2, 2015 | J | 1 | D | Apr 2, 2015 | Apr 2, 2015 | Common Stock | 292,500 | 0 | D |
| Call Option (obligation to sell | $29.79 | Apr 2, 2015 | X | 1 | D | Apr 2, 2015 | Apr 2, 2015 | Common Stock | 7,500 | 0 | I |
| Put option (right to sell | $17.65 | Apr 2, 2015 | J | 1 | D | Apr 2, 2015 | Apr 2, 2015 | Common Stock | 7,500 | 0 | I |
Explanation of responses
- F1In connection with the settlement of a call option written by the reporting persons on September 9, 2014, as part of a collar arrangement, the reporting persons delivered to the option holder each share of stock subject to the option. On the same date, the related put option expired unexercised.