SEC Form 4 · accession 0001209191-15-062697
Neos Therapeutics, Inc. · NEOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
David J Collier
10% Owner
Presidio Partners 2007, L.P.
10% Owner
James F Watson
10% Owner
Presidio Partners 2007 GP, L.P.
10% Owner
Presidio Partners 2007 GP, LLC
10% Owner
Faysal A. Sohail
10% Owner
Period of report
Jul 27, 2015
Accepted (ET)
Jul 28, 2015 · 4:59 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 | 406,250 | — | A | 406,250 | D | |
| Common StockF1 | Jul 28, 2015 | C | 677,622 | — | A | 1,083,872 | D | |
| Common StockF2 | Jul 28, 2015 | C | 162,500 | — | A | 1,246,372 | D | |
| Common StockF1 | Jul 28, 2015 | C | 10,416 | — | A | 1,256,788 | I | by Presidio Partners 2007 (Parallel), L.P |
| Common StockF1 | Jul 28, 2015 | C | 17,374 | — | A | 1,274,162 | I | by Presidio Partners 2007 (Parallel), L.P |
| Common StockF2 | Jul 28, 2015 | C | 4,166 | — | A | 1,278,328 | I | by Presidio Partners 2007 (Parallel), L.P |
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 StockF1 | — | Jul 28, 2015 | C | 975,000 | D | — | — | Common Stock | 406,250 | 0 | D |
| Series C Preferred StockF1 | — | Jul 28, 2015 | C | 1,626,294 | D | — | — | Common Stock | 677,622 | 0 | D |
| Preferred Stock Warrant (Right to Buy)F3,F1 | — | Jul 27, 2015 | X | 390,000 | D | — | Jan 30, 2018 | Series C Preferred Stock | 390,000 | 0 | D |
| Series C Preferred StockF1 | — | Jul 28, 2015 | C | 390,000 | D | — | — | Common Stock | 162,500 | 0 | D |
| Series B Preferred StockF1 | — | Jul 28, 2015 | C | 25,000 | D | — | — | Common Stock | 10,416 | 0 | I |
| Series C Preferred StockF1 | — | Jul 28, 2015 | C | 41,700 | D | — | — | Common Stock | 17,374 | 0 | I |
| Preferred Stock Warrant (Right to Buy)F3 | — | Jul 27, 2015 | X | 10,000 | D | — | Jan 30, 2018 | Series C Preferred Stock | 10,000 | 0 | I |
| Series C Preferred StockF1 | — | Jul 28, 2015 | C | 10,000 | D | — | — | Common Stock | 4,166 | 0 | I |
Explanation of responses
- F1Each share of the Issuer's Series B 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 and Series C preferred stock had no expiration date.
- F2Based upon and including the number of shares of common stock listed in column 4 issued upon the automatic conversion of the underlying shares of Series C preferred stock in accordance with Footnote (1) above, such shares of Series C preferred stock issued in accordance with the warrant exercise set forth in Footnote (3) below.
- F3The preferred stock warrant was exercised in full on July 27, 2015 for the number of underlying shares of Series C preferred stock. The shares of Series C preferred stock have no expiration date.