SEC Form 4 · accession 0001104659-15-053972

Neos Therapeutics, Inc. · NEOS

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

Reporting owner

Director

Period of report

Jul 28, 2015

Accepted (ET)

Jul 28, 2015 · 8:31 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^F1	Jul 28, 2015	C	3,604	—	A	29,314	D
Common Stock^F1	Jul 28, 2015	C	9,458	—	A	38,772	D
Common Stock^F1	Jul 28, 2015	C	8,703	—	A	47,475	D
Common Stock^F1	Jul 28, 2015	C	350	—	A	47,825	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Preferred Stock^F1	—	Jul 28, 2015	C	8,650	D	—	—	Common Stock	3,604	D
Series B-1 Preferred Stock^F1	—	Jul 28, 2015	C	22,700	D	—	—	Common Stock	9,458	D
Series C Preferred Stock^F1	—	Jul 28, 2015	C	20,890	D	—	—	Common Stock	8,703	D
Preferred Stock Warrant (Right to Buy)^F2	—	Jul 28, 2015	X	4,200	D	—	Feb 23, 2020	Series C Preferred Stock	840	D
Series C Preferred Stock^F1	—	Jul 28, 2015	C	840	D	—	—	Common Stock	350	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 preferred stock warrant was automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision pursuant to which the holder received a net number of shares of Series C preferred stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price (the "Cashless Exercise Provision"). The shares of Series C preferred stock have no expiration date.