Filing Details
- Accession Number:
- 0001209191-14-071297
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-25 19:09:57
- Reporting Period:
- 2014-11-25
- Filing Date:
- 2014-11-25
- Accepted Time:
- 2014-11-25 19:09:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1618835 | Neothetics Inc. | NEOT | Pharmaceutical Preparations (2834) | 208527075 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1198321 | Farah Champsi | One Embarcadero Center Suite 3700 San Francisco CA 94111 | No | No | Yes | No | |
| 1198325 | Daniel Janney | One Embarcadero Center Suite 3700 San Francisco CA 94111 | Yes | No | Yes | No | |
| 1198330 | P Guy Nohra | One Embarcadero Center Suite 3700 San Francisco CA 94111 | No | No | Yes | No | |
| 1399763 | Alta Partners Viii, L.p. | One Embarcadero Center Suite 3700 San Francisco CA 94111 | No | No | Yes | No | |
| 1399894 | Alta Partners Management Viii, Llc | One Embarcadero Center Suite 3700 San Francisco CA 94111 | 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 | 2014-11-25 | 122,951 | $0.00 | 126,885 | No | 4 | C | Indirect | Alta Partners VIII, LP |
| Common Stock | Acquisiton | 2014-11-25 | 1,161,939 | $0.00 | 1,288,824 | No | 4 | C | Indirect | Alta Partners VIII, LP |
| Common Stock | Acquisiton | 2014-11-25 | 476,845 | $0.00 | 1,765,669 | No | 4 | C | Indirect | Alta Partners VIII, LP |
| Common Stock | Acquisiton | 2014-11-25 | 735,912 | $0.00 | 2,501,581 | No | 4 | C | Indirect | Alta Partners VIII, LP |
| Common Stock | Acquisiton | 2014-11-25 | 93,676 | $11.29 | 2,595,257 | No | 4 | X | Indirect | Alta Partners VIII, LP |
| Common Stock | Disposition | 2014-11-25 | 57,143 | $14.00 | 2,538,114 | No | 4 | S | Indirect | Alta Partners VIII, LP |
| Common Stock | Acquisiton | 2014-11-25 | 115,925 | $8.54 | 2,654,039 | No | 4 | X | Indirect | Alta Partners VIII, LP |
| Common Stock | Disposition | 2014-11-25 | 70,714 | $14.00 | 2,583,325 | No | 4 | S | Indirect | Alta Partners VIII, LP |
| Common Stock | Acquisiton | 2014-11-25 | 35,128 | $8.54 | 2,618,453 | No | 4 | X | Indirect | Alta Partners VIII, LP |
| Common Stock | Disposition | 2014-11-25 | 21,429 | $14.00 | 2,597,024 | No | 4 | S | Indirect | Alta Partners VIII, LP |
| Common Stock | Acquisiton | 2014-11-25 | 70,000 | $14.00 | 2,667,024 | No | 4 | P | Indirect | Alta Partners VIII, LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | Alta Partners VIII, LP |
| No | 4 | C | Indirect | Alta Partners VIII, LP |
| No | 4 | C | Indirect | Alta Partners VIII, LP |
| No | 4 | C | Indirect | Alta Partners VIII, LP |
| No | 4 | X | Indirect | Alta Partners VIII, LP |
| No | 4 | S | Indirect | Alta Partners VIII, LP |
| No | 4 | X | Indirect | Alta Partners VIII, LP |
| No | 4 | S | Indirect | Alta Partners VIII, LP |
| No | 4 | X | Indirect | Alta Partners VIII, LP |
| No | 4 | S | Indirect | Alta Partners VIII, LP |
| No | 4 | P | Indirect | Alta Partners VIII, LP |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Seires A Preferred Stock | Disposition | 2014-11-25 | 750,000 | $0.00 | 750,000 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-11-25 | 6,216,215 | $0.00 | 6,216,215 | $0.00 |
| Common Stock | Series B-2 Preferred Stock | Disposition | 2014-11-25 | 2,201,220 | $0.00 | 2,201,220 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2014-11-25 | 4,489,065 | $0.00 | 4,489,065 | $0.00 |
| Series B-2 Preferred Stock | Warrant | Disposition | 2014-11-25 | 432,432 | $1.85 | 432,432 | $1.85 |
| Series C Prefered Stock | Warrant | Disposition | 2014-11-25 | 707,142 | $1.40 | 707,142 | $1.40 |
| Series C Preferred Stock | Warrant | Disposition | 2014-11-25 | 214,285 | $1.40 | 214,285 | $1.40 |
| 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 | ||
| 0 | 2011-09-30 | 2018-09-30 | No | 4 | X | Indirect |
| 0 | 2011-12-12 | 2018-12-01 | No | 4 | X | Indirect |
| 0 | 2012-07-25 | 2019-07-25 | No | 4 | X | Indirect |
Footnotes
- Immediately prior to but contingent upon the closing of the initial public offering of the Issuer's Common Stock, all outstanding shares of Preferred Stock will be automatically converted, for no additional consideration, into shares of the Issuer's Common Stock. The Preferred Stock will convert pursuant to the applicable conversion ratio, as listed in the Amended and Restated Certificate of Incorporation of the Issuer, and reflect a 6.1-for-1 stock split of the Issuer's Common Stock which occurred on November 7, 2014.
- The securities are held by Alta Partners VII, L.P. ("APVIII"). Alta Partners Manegment VIII, LLC ("APMVIII") is the general partner of APVIII. Guy Nohra, Daniel Janney and Farah Champsi are managing directors of APMVIII and exercise shared voting and investment power with respect to the shares owned by APVIII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
- Represents shares as converted to Common Stock pursuant to the applicable conversion ratio, as listed in the Amended and Restated Certificate of Incorporation of the Issuer, and the 6.1-for-1 stock split of the Issuer's Common Stock which occurred on November 7, 2014.
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