Filing Details
- Accession Number:
- 0001209191-14-077800
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-23 17:23:38
- Reporting Period:
- 2014-12-22
- Filing Date:
- 2014-12-23
- Accepted Time:
- 2014-12-23 17:23:38
- 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 |
---|---|---|---|---|---|---|---|
1440127 | A David Stamler | 3333 N. Torrey Pines Court Suite 400 La Jolla CA 92037 | Chief Medical Officer | No | Yes | No | 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 | 2014-12-22 | 2,660 | $0.90 | 3,643 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-12-22 | 1,560 | $53.28 | 2,083 | No | 4 | S | Direct | |
Common Stock | Disposition | 2014-12-22 | 1,100 | $53.92 | 983 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | Disposition | 2014-12-22 | 2,660 | $0.00 | 2,660 | $0.90 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
28,274 | 2021-03-10 | No | 4 | M | Direct |
Footnotes
- Includes 591 shares purchased through the Company's 2014 Employee Stock Purchase Plan ("ESPP") on May 20, 2014, and 392 shares purchased through the ESPP on November 20, 2014.
- The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 23, 2014.
- This transaction was executed in multiple trades at prices ranging from a low of $52.80 to a high of $53.64. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from a low of $53.71 to a high of $54.065. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- The original option grant to purchase 30,934 shares of common stock (split-adjusted) is subject to monthly vesting over a four-year period beginning on February 15, 2011.