Filing Details
- Accession Number:
- 0001209191-13-057535
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-17 18:59:54
- Reporting Period:
- 2013-12-17
- Filing Date:
- 2013-12-17
- Accepted Time:
- 2013-12-17 18:59:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1361248 | Tetralogic Pharmaceuticals Corp | TLOG | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1013469 | W John Littlechild | C/O Healthcare Ventures Llc 47 Thorndike Street, Suite B1-1 Cambridge MA 02141 | No | No | Yes | No | |
| 1013473 | H James Cavanaugh | C/O Healthcare Ventures Llc 47 Thorndike Street, Suite B1-1 Cambridge MA 02141 | No | No | Yes | No | |
| 1013603 | R Harold Werner | C/O Healthcare Ventures Llc 47 Thorndike Street, Suite B1-1 Cambridge MA 02141 | No | No | Yes | No | |
| 1202615 | Healthcare Ventures Vii Lp | C/O Healthcare Ventures Llc 47 Thorndike Street, Suite B1-1 Cambridge MA 02141 | No | No | Yes | No | |
| 1262326 | Christopher Mirabelli | C/O Healthcare Ventures Llc 47 Thorndike Street, Suite B1-1 Cambridge MA 02141 | No | No | Yes | No | |
| 1262327 | Augustine Lawlor | C/O Healthcare Ventures Llc 47 Thorndike Street, Suite B1-1 Cambridge MA 02141 | No | No | Yes | No | |
| 1270185 | E Douglas Onsi | C/O Healthcare Ventures Llc 47 Thorndike Street, Suite B1-1 Cambridge MA 02141 | Yes | No | No | No | |
| 1330957 | Healthcare Partners Vii, L.p. | C/O Healthcare Ventures Llc 47 Thorndike Street, Suite B1-1 Cambridge MA 02141 | No | No | Yes | 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 | 2013-12-17 | 653,594 | $0.00 | 653,594 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2013-12-17 | 438,453 | $0.00 | 1,092,047 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2013-12-17 | 506,086 | $0.00 | 1,598,133 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2013-12-17 | 7,335 | $6.40 | 1,605,468 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2013-12-17 | 267,535 | $7.00 | 1,873,003 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2013-12-17 | 713,463 | $7.00 | 2,586,466 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2013-12-17 | 5,000,000 | $0.00 | 653,594 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2013-12-17 | 7,453,704 | $0.00 | 438,453 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2013-12-17 | 8,603,477 | $0.00 | 506,086 | $0.00 |
| Common Stock | Preferred Stock Warrant | Disposition | 2013-12-17 | 0 | $0.00 | 7,335 | $6.40 |
| Common Stock | Notes | Disposition | 2013-12-17 | 0 | $0.00 | 267,535 | $7.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- These securities automatically converted into shares of the issuer's common stock immediately prior to the closing of the issuer's initial public offering.
- The securities are held of record by HealthCare Ventures VII, L.P. ("HCVVII"). HealthCare Partners VII, L.P. ("HCPVII") is the General Partner of HCVVII. Each of James Cavanaugh, Christopher Mirabelli, Harold Werner, John Littlechild and Augustine Lawlor are general partners of HCPVII and exercise shared voting and investment power with respect to the shares owned by HCVVII. Douglas E. Onsi, a member of the Board of Directors of the issuer, is a limited partner of HCPVII. Mr. Onsi advises HCVVII with respect to voting and investment decisions relating to the shares of stock owned by HCVVII but does not have voting and investment power over such shares. Each of the reporting persons disclaims beneficial ownershop of such securities, except to the extent of their proportionate pecuniary interest therein.
- The Warrants held by HCVVII were net exercised for an aggregate of 7,335 shares of common stock of the issuer upon the closing of the issuer's initial public offering.
- The Notes held by HCVVII in the aggregate principal amount of $1,807,472.64 plus accrued interest through December 17, 2013 (the closing date of the issuer's initial public offering) automatically converted into an aggregate of 267,535 shares of common stock of the issuer (including 963 shares issued in respect of interest for the period from December 1, 2013 through December 17, 2013) upon the closing of the issuer's initial public offering.
Billionaire Hedge Funds
