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Filing Details

Accession Number:: 0001209191-14-009891
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-12 18:36:50
Reporting Period:: 2014-02-10

Filing Date:: 2014-02-12
Accepted Time:: 2014-02-12 18:36:50
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
1512058	Alex Zisson	3366 N. Torrey Pines Court, Suite 225 San Diego CA 92037		Yes	No	Yes	No

Reported Non-Derivative Transactions

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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	5,083,451	$0.00	5,083,451	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-02-10	83,334	$12.00	5,166,785	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Convertible Preferred Stock	Disposition	2014-02-10	2,289,771	$0.00	508,838	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-02-10	7,552,207	$0.00	1,678,268	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2014-02-10	11,915,254	$0.00	2,647,835	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2014-02-10	1,118,298	$0.00	248,510	$0.00
Series C Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	296,281	$0.00	296,281	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	65,839	$0.00	65,839	$3.88
Series C Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	270,687	$0.00	270,687	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	60,151	$0.00	60,151	$3.88
Series C Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	266,750	$0.00	266,750	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	59,277	$0.00	59,277	$3.88
Series D Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	763,340	$0.00	763,340	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	169,630	$0.00	169,630	$3.88
Series D Preferred Stock	Preferred Stock Warrant	Disposition	2014-02-10	406,032	$0.00	406,032	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	90,228	$0.00	90,228	$3.88

Remaning Holdings	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
0	2014-05-22	No	4	C	Indirect
65,839	2014-05-22	No	4	C	Indirect
0	2014-10-09	No	4	C	Indirect
60,151	2014-10-09	No	4	C	Indirect
0	2015-01-08	No	4	C	Indirect
59,277	2015-01-08	No	4	C	Indirect
0	2016-12-15	No	4	C	Indirect
169,630	2016-12-15	No	4	C	Indirect
0	2017-07-18	No	4	C	Indirect
90,228	2017-07-18	No	4	C	Indirect

Footnotes

Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock. Every 4.5 shares of preferred stock converted into one share of common stock.
Includes 5,012,284 shares held in the name of Thomas, McNerney & Partners II, L.P. ("TMP II"); 52,359 shares held in the name of TMP Nominee II, LLC ("TMPN II"); and 18,808 shares held in the name of TMP Associates II, L.P. ("TMPA II").
The securities are held in the name of TMP II, TMPN II and TMPA II. Thomas, McNerney & Partners II, LLC (TMP II LLC) is the general partner of TMP II and TMPA II. Alex Zisson is a manager of TMP II LLC and TMPN II and has shared voting and dispositive power of the securities held by TMP II and TMPA II, but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
The securities are held as follows: 82,167 shares by TMP II, 859 shares by TMPN II and 308 shares by TMPA II.
The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.
The securities are held as follows: 501,714 shares by TMP II, 5,241 shares by TMPN II and 1,883 shares by TMPA II.
The securities are held as follows: 1,654,773 shares by TMP II, 17,286 shares by TMPN II and 6,209 shares by TMPA II.
The securities are held as follows: 2,610,765 shares by TMP II, 27,273 shares by TMPN II and 9,797 shares by TMPA II.
The securities are held as follows: 245,032 shares by TMP II, 2,559 shares by TMPN II and 919 shares by TMPA II.
Automatic conversion, in connection with the Issuer's initial public offering, of warrants to purchase convertible preferred stock into warrants to purchase common stock. Every 4.5 shares of preferred stock converted into 1 share of common stock.
The warrant is immediately exercisable.
The securities are held as follows: 292,134 shares by TMP II, 3,051 shares by TMPN II and 1,096 shares by TMPA II.
The securities are held as follows: 64,918 shares by TMP II, 678 shares by TMPN II and 243 shares by TMPA II.
The securities are held as follows: 266,898 shares by TMP II, 2,788 shares by TMPN II and 1,001 shares by TMPA II.
The securities are held as follows: 59,310 shares by TMP II, 619 shares by TMPN II and 222 shares by TMPA II.
The securities are held as follows: 263,016 shares by TMP II, 2,747 shares by TMPN II and 987 shares by TMPA II.
The securities are held as follows: 58,448 shares by TMP II, 610 shares by TMPN II and 219 shares by TMPA II.
The securities are held as follows: 752,654 shares by TMP II, 7,862 shares by TMPN II and 2,824 shares by TMPA II.
The securities are held as follows: 167,256 shares by TMP II, 1,747 shares by TMPN II and 627 shares by TMPA II.
The securities are held as follows: 400,348 shares by TMP II, 4,182 shares by TMPN II and 1,502 shares by TMPA II.
The securities are held as follows: 88,966 shares by TMP II, 929 shares by TMPN II and 333 shares by TMPA II.