SEC Form 4 · accession 0001140361-15-014400

Loxo Oncology, Inc. · LOXO

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

Reporting owner

Officer — CFO and Treasurer · 10% Owner

Period of report

Apr 1, 2015

Accepted (ET)

Apr 3, 2015 · 4:50 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001581720

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Apr 1, 2015	M	7,617	$3.648	A	30,273	D
Common Stock	Apr 1, 2015	M	31,595	$7.136	A	61,868	D
Common Stock	Apr 2, 2015	M	846	$3.648	A	62,714	D
Common Stock	Apr 2, 2015	M	3,159	$7.136	A	65,873	D
Common Stock^F1	holding	—	—		—	3,452,493	I	Held by Aisling Capital III, LP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F2	$3.648	Apr 1, 2015	M	7,617	D	—	Jun 18, 2024	Common Stock	7,617	22,851	D
Employee Stock Option (right to buy)^F3	$7.136	Apr 1, 2015	M	31,595	D	—	Jul 8, 2024	Common Stock	31,595	44,233	D
Employee Stock Option (right to buy)^F2	$3.648	Apr 2, 2015	M	846	D	—	Jun 18, 2024	Common Stock	846	22,005	D
Employee Stock Option (right to buy)^F3	$7.136	Apr 2, 2015	M	3,159	D	—	Jul 8, 2024	Common Stock	3,159	41,074	D

F1The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, and Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP. Dr. Goldstein is an Operating Partner of Aisling GP. Aisling GP has established an investment committee that has voting and dispositive power over the shares held by Aisling, of which Dr. Goldstein is a member. Dr. Goldstein disclaims beneficial ownership of these shares held directly by Aisling and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or any other purposes, except to the extent of his pecuniary interest therein.
F2The stock option vests as to 2.78% of the shares in equal monthly installments beginning on July 19, 2015.
F3The stock option vests and becomes exercisable as to 25% of the shares subject to the option on the one-year anniversary of the vesting commencement date, and thereafter vests as to 1/48th of the shares in equal monthly installments.