SEC Form 4 · accession 0001104659-15-053968

Neos Therapeutics, Inc. · NEOS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jul 27, 2015

Accepted (ET)

Jul 28, 2015 · 8:28 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
Common Stock	Jul 27, 2015	X	16,408	$0.024	A	126,559	D
Common Stock	Jul 27, 2015	M	28,897	$2.31	A	155,456	D
Common Stock	Jul 27, 2015	M	1,643	$0.32	A	157,099	D
Common Stock^F1	Jul 28, 2015	C	20,833	—	A	177,932	D
Common Stock^F1	Jul 28, 2015	C	100,000	—	A	277,932	D
Common Stock^F1	Jul 28, 2015	C	91,956	—	A	369,888	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Common Stock Warrant (Right to Buy)^F2	$0.024	Jul 27, 2015	X	16,408	D	—	Oct 19, 2016	Common Stock	16,408	D
Stock Option (Right to Buy)^F3	$2.31	Jul 27, 2015	M	28,897	D	—	Nov 14, 2022	Common Stock	28,897	D
Stock Option (Right to Buy)^F3	$0.32	Jul 27, 2015	M	1,643	D	—	Aug 30, 2021	Common Stock	1,643	D
Series B Preferred Stock^F1	—	Jul 28, 2015	C	50,000	D	—	—	Common Stock	20,833	D
Series B-1 Preferred Stock^F1	—	Jul 28, 2015	C	240,000	D	—	—	Common Stock	100,000	D
Series C Preferred Stock^F1	—	Jul 28, 2015	C	220,700	D	—	—	Common Stock	91,956	D

F1Each share of the Issuer's Series B preferred stock, Series B-1 preferred stock and 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 B preferred stock, Series B-1 preferred stock and Series C preferred stock had no expiration date.
F2The warrant was exercisable at any time at the holder's election.
F3This stock option was fully vested and exercisable.