Filing Details

Accession Number:
0001209191-14-062531
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-08 18:25:26
Reporting Period:
2014-10-06
Filing Date:
2014-10-08
Accepted Time:
2014-10-08 18:25:26
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
1405712 Cmea Ventures Vii Lp One Letterman Drive
Building C, Suite Cm500
San Francisco CA 94129
No No Yes No
1405972 Cmea Ventures Vii (Parallel) Lp One Letterman Drive
Building C, Suite Cm500
San Francisco CA 94129
No No 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 2014-10-06 41,892 $3.88 3,788,141 No 4 X Direct
Common Stock Disposition 2014-10-06 6,931 $23.45 3,781,210 No 4 S Direct
Common Stock Acquisiton 2014-10-06 1,074 $3.88 104,682 No 4 X Indirect By: CMEA Ventures VII (Parallel) LP
Common Stock Disposition 2014-10-06 178 $23.45 104,504 No 4 S Indirect By: CMEA Ventures VII (Parallel) LP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 X Direct
No 4 S Direct
No 4 X Indirect By: CMEA Ventures VII (Parallel) LP
No 4 S Indirect By: CMEA Ventures VII (Parallel) LP
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant (right to buy) Disposition 2014-10-06 41,892 $0.00 41,897 $3.88
Common Stock Warrant (right to buy)) Disposition 2014-10-06 1,074 $0.00 1,074 $3.88
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-10-09 2014-10-09 No 4 X Direct
0 2009-10-09 2014-10-09 No 4 X Indirect
Footnotes
  1. On October 6, 2014, the reporting person exercised a warrant to purchase 41,892 shares of ASPX common stock for $3.879 a share. The reporting person paid the exercise price on a cashless basis, resulting in ASPX's withholding 6,931 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares.
  2. On October 6, 2014, the reporting person exercised a warrant to purchase 1,074 shares of ASPX common stock for $3.879 a share. The reporting person paid the exercise price on a cashless basis, resulting in ASPX's withholding 178 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares.