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Filing Details

Accession Number:: 0001012975-14-000642
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-10-01 12:33:57
Reporting Period:: 2014-02-10

Filing Date:: 2014-10-01
Accepted Time:: 2014-10-01 12:33:57
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
1505930	Thomas, Mcnerney & Partners Ii, Llc	60 South Sixth Street, Suite 3620 Minneapolis MN 55402		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	5,031,092	$0.00	5,031,092	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-10	82,475	$12.00	5,113,567	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	2,266,186	$0.00	503,597	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-02-10	7,474,419	$0.00	1,660,982	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2014-02-10	11,792,529	$0.00	2,620,562	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2014-02-10	1,106,779	$0.00	245,951	$0.00
Series C Convertible Preferred Stock	Warrants to Purchase Series C Convertible Preferred Stock	Disposition	2014-02-10	293,230	$0.00	293,230	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	65,161	$0.00	65,161	$3.88
Series C Convertible Preferred Stock	Warrants to Purchase Series C Convertible Preferred Stock	Disposition	2014-02-10	267,899	$0.00	267,899	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	59,532	$0.00	59,532	$3.88
Series C Convertible Preferred Stock	Warrants to Purchase Series C Convertible Preferred Stock	Disposition	2014-02-10	264,003	$0.00	264,003	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	58,667	$0.00	58,667	$3.88
Series D Convertible Preferred Stock	Warrants to Purchase Series D Convertible Preferred Stock	Disposition	2014-02-10	755,478	$0.00	755,478	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	167,883	$0.00	167,883	$3.88
Series D Convertible Preferred Stock	Warrants to Purchase Series D Convertible Preferred Stock	Disposition	2014-02-10	401,850	$0.00	401,850	$0.86
Common Stock	Common Stock Warrant	Acquisiton	2014-02-10	89,299	$0.00	89,299	$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
65,161	2014-05-22	No	4	C	Indirect
0	2014-10-09	No	4	C	Indirect
59,532	2014-10-09	No	4	C	Indirect
0	2015-01-08	No	4	C	Indirect
58,667	2015-01-08	No	4	C	Indirect
0	2016-12-15	No	4	C	Indirect
167,883	2016-12-15	No	4	C	Indirect
0	2017-07-18	No	4	C	Indirect
89,299	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") 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 and TMPA II. The reporting person is the general partner of TMP II and TMPA II. The reporting person disclaims its pecuniary interest in the reported securities except to the extent of its economic interest.
The securities are held as follows: 82,167 shares by TMP 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 and 1,883 shares by TMPA II.
The securities are held as follows: 1,654,773 shares by TMP II and 6,209 shares by TMPA II.
The securities are held as follows: 2,610,765 shares by TMP II and 9,797 shares by TMPA II.
The securities are held as follows: 245,032 shares by TMP 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 and 1,096 shares by TMPA II.
The securities are held as follows: 64,918 shares by TMP II and 243 shares by TMPA II.
The securities are held as follows: 266,898 shares by TMP II and 1,001 shares by TMPA II.
The securities are held as follows: 59,310 shares by TMP II and 222 shares by TMPA II.
The securities are held as follows: 263,016 shares by TMP II and 987 shares by TMPA II.
The securities are held as follows: 58,448 shares by TMP II and 219 shares by TMPA II.
The securities are held as follows: 752,654 shares by TMP II and 2,824 shares by TMPA II.
The securities are held as follows: 167,256 shares by TMP II and 627 shares by TMPA II.
The securities are held as follows: 400,348 shares by TMP II and 1,502 shares by TMPA II.
The securities are held as follows: 88,966 shares by TMP II and 333 shares by TMPA II.