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
- 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.
- 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.
- 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.