SEC Form 4 · accession 0001104659-15-053967
Neos Therapeutics, Inc. · NEOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dorothy Engelking
Officer — VP of Regulatory Affairs
Period of report
Jul 28, 2015
Accepted (ET)
Jul 28, 2015 · 8:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001467652
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 28, 2015 | C | 416 | — | A | 416 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF1 | — | Jul 28, 2015 | C | 1,000 | D | — | — | Common Stock | 416 | 0 | D |
Explanation of responses
- F1Each share of the Issuer's Series C preferred stock was automatically converted on a 2.4-for-1 basis into common stock immediately prior to the closing of the Issuer's initial public offering. The shares of Series C preferred stock had no expiration date.