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Filing Details

Accession Number:: 0000904454-14-000789
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2014-12-10 16:09:09
Reporting Period:: 2014-11-25

Filing Date:: 2014-12-10
Accepted Time:: 2014-12-10 16:09:09
Original Submission Date:: 2014-11-26
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	Director	Officer	Large Shareholder	Other
1013425	I Jesse Treu	C/O Domain Associates, Llc One Palmer Square Princeton NJ 08542	No	No	Yes	No
1024000	C James Blair	C/O Domain Associates, Llc One Palmer Square Princeton NJ 08542	No	No	Yes	No
1196863	Nicole Vitullo	C/O Domain Associates, Llc One Palmer Square Princeton NJ 08542	No	No	Yes	No
1207786	H Brian Dovey	C/O Domain Associates, Llc One Palmer Square Princeton NJ 08542	No	No	Yes	No
1207789	K Kathleen Schoemaker	C/O Domain Associates, Llc One Palmer Square Princeton NJ 08542	No	No	Yes	No
1354718	K Brian Halak	C/O Domain Associates, Llc One Palmer Square Princeton NJ 08542	No	No	Yes	No
1374150	P L Vii Parters Domain	C/O Domain Associates, Llc One Palmer Square Princeton NJ 08542	No	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
Common Stock	Acquisiton	2014-11-25	2,921,065	$0.00	2,921,065	No	4	C	Direct
Common Stock	Acquisiton	2014-11-25	92,105	$8.54	3,013,170	No	4	M	Direct
Common Stock	Disposition	2014-11-25	56,185	$14.00	2,956,985	No	4	F	Direct
Common Stock	Acquisiton	2014-11-25	165,790	$8.54	3,122,775	No	4	M	Direct
Common Stock	Disposition	2014-11-25	101,132	$14.00	3,021,643	No	4	F	Direct
Common Stock	Acquisiton	2014-11-25	70,000	$14.00	3,091,643	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Preferred Stock	Disposition	2014-11-25	737,422	$0.00	120,888	$0.00
Common Stock	Series B Preferred Stock	Disposition	2014-11-25	6,111,968	$0.00	1,142,453	$0.00
Common Stock	Series B-2 Preferred Stock	Disposition	2014-11-25	2,164,305	$0.00	468,848	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-11-25	7,252,144	$0.00	1,188,876	$0.00
Common Stock	Series B-2 Preferred Stock Warrant (Right to Buy)	Disposition	2014-11-25	92,105	$0.00	92,105	$8.54
Common Stock	Series C Preferred Stock Warrant (Right to Buy)	Disposition	2014-11-25	165,790	$0.00	165,790	$8.54

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	M	Direct
No	4	M	Direct

Footnotes

The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
As managing members of Domain Associates, LLC, each Reporting Owner listed below may also be deemed to indirectly beneficially 24,000 shares of Common Stock held by Domain Associates, LLC.
As managing members of the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4.
All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration. The preferred stock had no expiration date.
Immediately prior to the closing of the IPO the Warrants were net exercised for shares of Preferred Stock, which then automatically converted into shares of Common Stock. The net exercise is based on a fair market value of the IPO price of the Common Stock, which was $14.00 per share.