Filing Details
- Accession Number:
- 0001192482-13-000238
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-19 12:47:23
- Reporting Period:
- 2013-12-17
- Filing Date:
- 2013-12-19
- Accepted Time:
- 2013-12-19 12:47:23
- 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 |
---|---|---|---|---|---|---|---|
1291262 | Md Douglas Reed | C/O Tetralogic Pharmaceuticals Corp 343 Phoenixville Pike Malvern PA 19355 | 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 | 2013-12-17 | 142,857 | $7.00 | 142,857 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-12-17 | 780,980 | $0.00 | 923,837 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2013-12-17 | 278,315 | $7.00 | 1,202,152 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2013-12-17 | 7,590 | $6.40 | 1,209,742 | No | 4 | X | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnote |
No | 4 | C | Indirect | See footnote |
No | 4 | C | Indirect | See footnote |
No | 4 | X | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series C Convertible Stock | Disposition | 2013-12-17 | 780,980 | $0.00 | 780,980 | $0.00 |
Common Stock | Convertible Notes | Disposition | 2013-12-17 | 278,315 | $0.00 | 278,315 | $7.00 |
Common Stock | Warrants | Disposition | 2013-12-17 | 7,590 | $0.00 | 7,590 | $6.40 |
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 | X | Indirect |
Footnotes
- 780,980 shares of Series C Convertible Preferred Stock converted to 780,980 shares of Common Stock at the time of the Company's initial public offering on December 17, 2013.
- The Convertible Notes and Accrued Interest automatically converted into Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering, at the initial public offering price of $7.00 per share, which occurred on December 17, 2013.
- The warrants were automatically exercised immediately prior to the closing of the Issuer's initial public offering for a number of shares of common stock equal to the warrant amount divided by $6.4022 and net exercised at the initial public offering price of $7.00 per share.
- The securities are held of record by Hatteras Venture Partners III, L.P. ("HVPIII") and Hatteras Venture Affiliates, L.P. ("HVAIII"). Hatteras Venture Advisors, LLC is the General Partner of HVPIIII. The reporting person, a partner in HVPIII and HVAIII, has voting and investment power over the shares beneficially owned by HVPIII and HVAIII, and disclaims beneficial ownership of the shares beneficially owned by HVPIII and HVAIII, except to the extent of his pecuniary interest therein.