SEC Form 4 · accession 0001104659-15-053970

Neos Therapeutics, Inc. · NEOS

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

Reporting owner

Jack W Schuler

10% Owner

Period of report

Jul 28, 2015

Accepted (ET)

Jul 28, 2015 · 8:29 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 Stock^F1	Jul 28, 2015	C	72,087	—	A	72,087	D
Common Stock^F1	Jul 28, 2015	C	189,159	—	A	261,246	D
Common Stock^F1	Jul 28, 2015	C	783,332	—	A	1,044,578	D
Common Stock^F1,F2	Jul 28, 2015	C	41,665	—	A	1,086,243	I	See Footnote
Common Stock^F1,F3	Jul 28, 2015	C	41,665	—	A	1,127,908	I	See Footnote
Common Stock^F1,F4	Jul 28, 2015	C	41,665	—	A	1,169,573	I	See Footnote
Common Stock^F1,F5	Jul 28, 2015	C	41,665	—	A	1,211,238	I	See Footnote
Common Stock^F1,F6	Jul 28, 2015	C	41,665	—	A	1,252,903	I	See Footnote
Common Stock^F7	Jul 28, 2015	P	20,000	$15.00	A	1,279,903	I	See Footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Preferred Stock^F1	—	Jul 28, 2015	C	173,009	D	—	—	Common Stock	72,087	0	D
Series B-1 Preferred Stock^F1	—	Jul 28, 2015	C	453,982	D	—	—	Common Stock	189,159	0	D
Series C Preferred Stock^F1	—	Jul 28, 2015	C	1,880,000	D	—	—	Common Stock	783,332	500,000	D
Series C Preferred Stock^F1,F2	—	Jul 28, 2015	C	100,000	D	—	—	Common Stock	41,665	400,000	I
Series C Preferred Stock^F1,F3	—	Jul 28, 2015	C	100,000	D	—	—	Common Stock	41,665	300,000	I
Series C Preferred Stock^F1,F4	—	Jul 28, 2015	C	100,000	D	—	—	Common Stock	41,665	200,000	I
Series C Preferred Stock^F1,F5	—	Jul 28, 2015	C	100,000	D	—	—	Common Stock	41,665	100,000	I
Series C Preferred Stock^F1,F6	—	Jul 28, 2015	C	100,000	D	—	—	Common Stock	41,665	0	I

Explanation of responses

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.
F2Security listed in column 1 is directly held by JS Grandchildren 2010 Continuation Trust. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F3Security listed in column 1 is directly held by Schuler Grandchildren LLC. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F4Security listed in column 1 is directly held by Tanya Eve Schuler Trust. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F5Security listed in column 1 is directly held by Tino Hans Schuler Trust. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F6Security listed in column 1 is directly held by Schuler Grandchildren LLC. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F7Security listed in column 1 is directly held by Jack W. Schuler Living Trust, of which the Reporting Person is the sole trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.