Filing Details
- Accession Number:
- 0001192482-13-000241
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-19 12:51:11
- Reporting Period:
- 2013-12-17
- Filing Date:
- 2013-12-19
- Accepted Time:
- 2013-12-19 12:51:11
- 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 |
---|---|---|---|---|---|---|---|
1510184 | L Andrew Pecora | 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 | 26,551 | $7.00 | 42,727 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-12-17 | 16,055 | $0.00 | 58,782 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2013-12-17 | 5,887 | $7.00 | 64,669 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2013-12-17 | 161 | $6.40 | 64,830 | 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 Preferred Stock | Disposition | 2013-12-17 | 16,055 | $0.00 | 16,055 | $0.00 |
Common Stock | Convertible Notes | Disposition | 2013-12-17 | 5,887 | $0.00 | 5,887 | $7.00 |
Common Stock | Series C Warrants | Disposition | 2013-12-17 | 161 | $0.00 | 161 | $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
- Shares of Series C Convertible Preferred Stock were automatically converted to the same number of 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.
- Held by Pecora & Co., LLC.. The reporting person is the Chairman of Pecora & Company, LLC and has voting and investment power with respect to such shares held by Pecora & Co., LLC.