Filing Details
- Accession Number:
- 0001193805-14-000201
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-11 18:19:06
- Reporting Period:
- 2014-02-10
- Filing Date:
- 2014-02-11
- Accepted Time:
- 2014-02-11 18:19:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1454189 | Auspex Pharmaceuticals Inc. | ASPX | Pharmaceutical Preparations (2834) | 954862842 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1009258 | Deerfield Management Co | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1010823 | L.p. Mgmt Deerfield | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1352546 | E James Flynn | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1354395 | Deerfield Special Situations Fund, L.p. | 780 3Rd Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1483686 | Deerfield Private Design International Ii, L.p. | Bison Court, P.o. Box 3460 Road Town, Tortola D8 00000 | No | No | Yes | Yes | |
| 1483687 | Deerfield Private Design Fund Ii, L.p. | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
| 1565099 | Deerfield Special Situations International Master Fund, L.p. | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes |
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 | 2014-02-10 | 176,914 | $0.00 | 273,514 | No | 4 | C | Indirect | Through Deerfield Special Situations Fund, L.P. |
| Common Stock | Acquisiton | 2014-02-10 | 145,333 | $0.00 | 223,733 | No | 4 | C | Indirect | Through Deerfield Special Situations International Master Fund, L.P. |
| Common Stock | Acquisiton | 2014-02-10 | 450,502 | $0.00 | 695,152 | No | 4 | C | Indirect | Through Deerfield Private Design Fund II, L.P. |
| Common Stock | Acquisiton | 2014-02-10 | 516,241 | $0.00 | 796,591 | No | 4 | C | Indirect | Through Deerfield Private Design International II, L.P. |
| Common Stock | Acquisiton | 2014-02-10 | 96,600 | $12.00 | 273,514 | No | 4 | P | Indirect | Through Deerfield Special Situations Fund, L.P. |
| Common Stock | Acquisiton | 2014-02-10 | 78,400 | $12.00 | 223,733 | No | 4 | P | Indirect | Through Deerfield Special Situations International Master Fund, L.P. |
| Common Stock | Acquisiton | 2014-02-10 | 244,650 | $12.00 | 695,152 | No | 4 | P | Indirect | Through Deerfield Private Design Fund II, L.P. |
| Common Stock | Acquisiton | 2014-02-10 | 280,350 | $12.00 | 796,591 | No | 4 | P | Indirect | Through Deerfield Private Design International II, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | Through Deerfield Special Situations Fund, L.P. |
| No | 4 | C | Indirect | Through Deerfield Special Situations International Master Fund, L.P. |
| No | 4 | C | Indirect | Through Deerfield Private Design Fund II, L.P. |
| No | 4 | C | Indirect | Through Deerfield Private Design International II, L.P. |
| No | 4 | P | Indirect | Through Deerfield Special Situations Fund, L.P. |
| No | 4 | P | Indirect | Through Deerfield Special Situations International Master Fund, L.P. |
| No | 4 | P | Indirect | Through Deerfield Private Design Fund II, L.P. |
| No | 4 | P | Indirect | Through Deerfield Private Design International II, L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series E Preferred Stock | Disposition | 2014-02-10 | 796,114 | $0.00 | 176,914 | $0.00 |
| Common Stock | Series E Preferred Stock | Disposition | 2014-02-10 | 654,002 | $0.00 | 145,333 | $0.00 |
| Common Stock | Series E Preferred Stock | Disposition | 2014-02-10 | 2,027,262 | $0.00 | 450,502 | $0.00 |
| Common Stock | Series E Preferred Stock | Disposition | 2014-02-10 | 2,323,086 | $0.00 | 516,241 | $0.00 |
| 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 |
Footnotes
- The Series E Preferred Stock was convertible at any time into the Issuer's Common Stock, on the basis of 2 shares of Common Stock per 9 shares of Preferred Stock, and had no expiration date. The Series E Preferred Stock converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering of Common Stock.
- This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons").
- Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Special Situations International Master Fund, L.P., Deerfield Private Design Fund II, L.P. and Deerfield Private Design International II, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. In accordance with Instruction 5 (b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Billionaire Hedge Funds
