Filing Details
- Accession Number:
- 0001209191-15-027154
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-17 17:25:08
- Reporting Period:
- 2015-03-16
- Filing Date:
- 2015-03-17
- Accepted Time:
- 2015-03-17 17:25:08
- 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 | 2015-03-16 | 3,000 | $0.90 | 3,983 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-03-16 | 400 | $79.55 | 3,583 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-03-16 | 2,600 | $80.08 | 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 | 2015-03-16 | 3,000 | $0.00 | 3,000 | $0.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,274 | 2021-03-10 | No | 4 | M | Direct |
Footnotes
- 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 $79.14 to a high of $79.78. 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 $79.98 to a high of $80.25. 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 was subject to monthly vesting over a four-year period beginning on February 15, 2011 and became fully vested on January 15, 2015.
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