Filing Details
- Accession Number:
- 0000950142-15-001511
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-06-24 21:14:30
- Reporting Period:
- 2015-06-22
- Filing Date:
- 2015-06-24
- Accepted Time:
- 2015-06-24 21:14:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1461993 | Cempra Inc. | CEMP | Pharmaceutical Preparations (2834) | 262644445 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1120478 | Md A Dov Goldstein | 888 7Th Avenue 12Th Floor New York NY 10106 | Yes | No | 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 | 2015-06-22 | 5,000 | $0.00 | 5,050 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-06-22 | 15,000 | $0.00 | 20,050 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-06-22 | 15,000 | $0.00 | 35,050 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-06-22 | 15,000 | $0.00 | 50,050 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-06-22 | 50,000 | $35.74 | 50 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | Disposition | 2015-06-22 | 5,000 | $0.00 | 5,000 | $23.51 |
| Common Stock | Stock Option | Disposition | 2015-06-22 | 15,000 | $0.00 | 15,000 | $13.10 |
| Common Stock | Stock Option | Disposition | 2015-06-22 | 15,000 | $0.00 | 15,000 | $6.79 |
| Common Stock | Stock Option | Disposition | 2015-06-22 | 15,000 | $0.00 | 15,000 | $7.62 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,000 | 2024-12-31 | No | 4 | M | Direct | |
| 0 | 2015-01-01 | 2024-01-07 | No | 4 | M | Direct |
| 0 | 2014-01-01 | 2023-02-03 | No | 4 | M | Direct |
| 0 | 2013-01-01 | 2022-03-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,193,110 | Indirect | By Aisling Capital II, LP |
Footnotes
- Sold pursuant to 10b5-1 Plan.
- The reportable securities are owned directly by Aisling Capital II, LP ("Aisling"), and held indirectly by Aisling Capital Partners, LP ("Aisling GP"), as general partner of Aisling, and Aisling Capital Partners, LLC, as general partner of Aisling GP. Dr. Goldstein is a member of the investment committee of Aisling. Dr. Goldstein disclaims beneficial ownership of these securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
- Exercised pursuant to 10b5-1 Plan.
- The option vests on the following schedule: 1/12th of the shares vest monthly at the end of each month over 12 months, beginning January 1, 2015.
- These stock options are held by Dr. Goldstein for the benefit of Aisling Capital LLC. Dr. Goldstein disclaims beneficial ownership of these securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
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