Filing Details
- Accession Number:
- 0001179110-13-011150
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-07-01 16:37:28
- Reporting Period:
- 2013-07-01
- Filing Date:
- 2013-07-01
- Accepted Time:
- 2013-07-01 16:37:28
- 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 |
---|---|---|---|---|---|---|---|
1120478 | Md A Dov Goldstein | 888 7Th Avenue 30Th Floor New York NY 10106 | 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 Aisling Capital II, LP |
Common Stock | Acquisiton | 2013-07-01 | 238,119 | $14.00 | 2,054,594 | No | 4 | P | Indirect | By Aisling Capital II, LP |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | By Aisling Capital II, LP |
No | 4 | P | Indirect | By Aisling Capital II, LP |
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 Aisling Capital II, LP ("Aisling"), and held indirectly by Aisling Capital Partners, LP ("Aisling GP"), as general partner of Aisling, and Aisling Capital Partners, LLC ("Aisling Partners"), as general partner of Aisling GP. Dr. Goldstein is a member of the investment committee of Aisling. Dr. Goldstein disclaims beneficial ownership of these securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, 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.