Filing Details
- Accession Number:
- 0001140361-14-031043
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-06 16:12:44
- Reporting Period:
- 2014-08-06
- Filing Date:
- 2014-08-06
- Accepted Time:
- 2014-08-06 16:12:44
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1581720 | Loxo Oncology Inc. | LOXO | Pharmaceutical Preparations (2834) | 462996673 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1120478 | Md A Dov Goldstein | C/O Loxo Oncology, Inc. One Landmark Square, Suite 1122 Stamford CT 06901 | Cfo And Treasurer | Yes | Yes | 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 | 2014-08-06 | 2,850,709 | $0.00 | 3,039,416 | No | 4 | C | Indirect | Held by Aisling Capital III, LP |
Common Stock | Acquisiton | 2014-08-06 | 413,077 | $13.00 | 3,452,493 | No | 4 | P | Indirect | Held by Aisling Capital III, LP |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | Held by Aisling Capital III, LP |
No | 4 | P | Indirect | Held by Aisling Capital III, LP |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Preferred Stock | Disposition | 2014-08-06 | 2,343,749 | $0.00 | 2,343,749 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2014-08-06 | 506,960 | $0.00 | 506,960 | $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 |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 22,656 | Direct |
Footnotes
- In connection with the consummation of the Issuer's initial public offering on August 6, 2014, each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration. All shares of Common Stock issued upon conversion were aggregated.
- The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, and Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP. Dr. Goldstein is an Operating Partner of Aisling GP. Aisling GP has established an investment committee that has voting and dispositive power over the shares held by Aisling, of which Dr. Goldstein is a member. Dr. Goldstein disclaims beneficial ownership of these shares held directly by Aisling and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or any other purposes, except to the extent of his pecuniary interest therein.
- None.