Filing Details
- Accession Number:
- 0001179110-13-011146
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-07-01 16:34:15
- Reporting Period:
- 2013-07-01
- Filing Date:
- 2013-07-01
- Accepted Time:
- 2013-07-01 16:34:15
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1434868 | Esperion Therapeutics Inc. | ESPR | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1198325 | Daniel Janney | One Embarcadero Center 37Th Floor San Francisco CA 94111 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-07-01 | 1,816,475 | $0.00 | 1,816,475 | No | 4 | C | Indirect | By Alta Partners VIII, L.P. |
Common Stock | Acquisiton | 2013-07-01 | 235,714 | $14.00 | 2,052,189 | No | 4 | P | Indirect | By Alta Partners VIII, L.P. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | By Alta Partners VIII, L.P. |
No | 4 | P | Indirect | By Alta Partners VIII, L.P. |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Preferred Stock | Disposition | 2013-07-01 | 1,816,475 | $0.00 | 1,816,475 | $0.00 |
Series A Preferred Stock | Warrant to Purchase Preferred Stock | Disposition | 2013-07-01 | 497,666 | $0.00 | 497,666 | $1.00 |
Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-07-01 | 71,237 | $0.00 | 71,237 | $6.99 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | 2018-02-12 | No | 4 | J | Indirect | |
71,237 | 2018-02-12 | No | 4 | J | Indirect |
Footnotes
- The Series A Preferred Stock was automatically converted into Common Stock on a 6.986-for-1 basis upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.
- The reportable securities are owned directly by Alta Partners VIII, L.P. ("APVIII"). The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein.
- Upon the closing of the Issuer's initial public offering, this warrant to purchase shares of Series A Preferred Stock automatically converted on a 6.986-for-1 basis into a warrant to purchase shares of Common Stock, and the exercise price automatically adjusted accordingly. The transaction is listed solely for the purpose of reporting the change in the shares underlying the warrant and the change in exercise price.
- The warrant is immediately exercisable.