Filing Details

Accession Number:
0001181431-13-063433
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-18 18:09:59
Reporting Period:
2013-12-17
Filing Date:
2013-12-18
Accepted Time:
2013-12-18 18:09:59
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
318154 Amgen Inc One Amgen Center Drive
Thousand Oaks CA 91320
No No Yes No
1576997 Amgen Ventures Llc One Amgen Center Drive
Thousand Oaks CA 91320
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 2013-12-17 448,767 $0.00 448,767 No 4 C Direct
Common Stock Acquisiton 2013-12-17 268,116 $0.00 268,116 No 4 C Indirect By Ventures
Common Stock Acquisiton 2013-12-17 1,141 $6.40 269,257 No 4 X Indirect By Ventures
Common Stock Acquisiton 2013-12-17 272,142 $7.00 541,399 No 4 P Indirect By Ventures
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Indirect By Ventures
No 4 X Indirect By Ventures
No 4 P Indirect By Ventures
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Convertible Notes Disposition 2013-12-17 0 $0.00 448,767 $7.00
Common Stock Series B Convertible Preferred Stock Disposition 2013-12-17 108,932 $0.00 108,932 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2013-12-17 117,361 $0.00 117,361 $0.00
Common Stock Convertible Notes Disposition 2013-12-17 0 $0.00 41,823 $7.00
Common Stock Series C Convertible Preferred Stock Warrants (Right To Buy) Disposition 2013-12-17 13,355 $0.00 13,355 $6.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 X Indirect
Footnotes
  1. Owned directly by Amgen Ventures LLC ("Ventures"), a wholly-owned subsidiary of Amgen Inc. ("Amgen"). Amgen may be deemed to beneficially own securities held by Ventures, but disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
  2. As more fully described in the Issuer's Registration Statement on Form S-1 (Registration No. 333-191811) (the "Registration Statement"), in connection with the Issuer's initial public offering (the "Offering"), upon the closing of the Offering, (i) each outstanding share of the Issuer's preferred stock was converted on a one-for-one basis into the Issuer's common stock, (ii) certain warrants for the right to purchase Series C Convertible Preferred Stock were exercised on a one-for-one basis at the exercise price reported herein and converted into common stock of the Issuer on a one-for-one basis, and (iii) the Issuer's common stock was issued upon conversion of the convertible notes by dividing the face value of such notes plus accrued interest due on such notes by the initial public offering price of the Issuer's common stock.
  3. In accordance with the terms of the Warrant to Purchase Equity Securities, the warrant was net exercised and based on a fair market value of $7.00 per share, a net of 1,141 shares were acquired by Ventures.