SEC Form 4 · accession 0001104659-15-053974

Neos Therapeutics, Inc. · NEOS

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

Reporting owners

10% Owner

10% Owner

10% Owner

10% Owner

Period of report

Jul 28, 2015

Accepted (ET)

Jul 28, 2015 · 8:32 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,F2	Jul 28, 2015	C	180,217	—	A	180,217	I	See Footnote
Common Stock^F1,F2	Jul 28, 2015	C	472,897	—	A	653,114	I	See Footnote
Common Stock^F1,F2	Jul 28, 2015	C	561,938	—	A	1,215,052	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Preferred Stock^F1,F2	—	Jul 28, 2015	C	432,523	D	—	—	Common Stock	180,217	I
Series B-1 Preferred Stock^F1,F2	—	Jul 28, 2015	C	1,134,954	D	—	—	Common Stock	472,897	I
Series C Preferred Stock^F1,F2	—	Jul 28, 2015	C	1,348,655	D	—	—	Common Stock	561,938	I

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 (prior to the Company's 2.4-for-1 reverse common stock split the preferred stock would have converted on a 1-for-1 basis pursuant to its terms). The shares of Series B preferred stock, Series B-1 preferred stock and Series C preferred stock had no expiration date.
F2The security listed in column 1 is held directly by Burrill Life Sciences Capital Fund III, L.P. ("Burrill"). Kearny Venture Associates II, LLC ("KVA II"), is the General Partner of Burrill. Caley Castelein and Anupam Dalal are the managing members of KVA II and share both voting power and disposal power over the shares. Each Reporting Person disclaims beneficial ownership of the Securities, except to the extent of its pecuniary interest therein.