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Filing Details

Accession Number:: 0001104659-15-053969
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-07-28 20:28:57
Reporting Period:: 2015-07-28

Filing Date:: 2015-07-28
Accepted Time:: 2015-07-28 20:28:57
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1467652	Neos Therapeutics Inc.	NEOS	Pharmaceutical Preparations (2834)	270395455

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1648328	Ralph Iannelli	C/O Neos Therapeutics, Inc. 2940 N. Hwy 360 Grand Prairie TX 75050		No	No	Yes	No
1648579	Essex Capital Corp	C/O Neos Therapeutics, Inc. 2940 N. Hwy 360 Grand Prairie TX 75050		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	Explanation
Common Stock	Acquisiton	2015-07-28	386,415	$0.00	393,704	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	31,437	$0.00	425,141	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	83,333	$0.00	508,474	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	237,500	$0.00	745,974	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	20,833	$0.00	766,807	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	8,333	$0.00	775,140	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	56,874	$0.00	832,014	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	81,249	$0.00	913,263	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	18,332	$0.00	931,595	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	2,958	$0.00	934,553	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	1,666	$0.00	936,219	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2015-07-28	30,000	$15.00	966,219	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote

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	2015-07-28	927,397	$0.00	386,415	$0.00
Common Stock	Series B Preferred Stock	Disposition	2015-07-28	75,450	$0.00	31,437	$0.00
Common Stock	Series B Preferred Stock	Disposition	2015-07-28	200,000	$0.00	83,333	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2015-07-28	570,000	$0.00	237,500	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2015-07-28	50,000	$0.00	20,833	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2015-07-28	20,000	$0.00	8,333	$0.00
Common Stock	Series C Preferred Stock	Disposition	2015-07-28	136,500	$0.00	56,874	$0.00
Common Stock	Series C Preferred Stock	Disposition	2015-07-28	195,000	$0.00	81,942	$0.00
Common Stock	Series C Preferred Stock	Disposition	2015-07-28	44,000	$0.00	18,332	$0.00
Series C Preferred Stock	Preferred Stock Warrant (Right to Buy)	Disposition	2015-07-28	35,500	$0.00	7,100	$0.00
Series C Preferred Stock	Preferred Stock Warrant (Right to Buy)	Disposition	2015-07-28	20,000	$0.00	4,000	$0.00
Common Stock	Series C Preferred Stock	Disposition	2015-07-28	7,100	$0.00	2,958	$0.00
Common Stock	Series C Preferred Stock	Disposition	2015-07-28	4,000	$0.00	1,666	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		No	4	C	Indirect
200,000		No	4	C	Indirect
0		No	4	C	Indirect
70,000		No	4	C	Indirect
20,000		No	4	C	Indirect
0		No	4	C	Indirect
239,000		No	4	C	Indirect
44,000		No	4	C	Indirect
0		No	4	C	Indirect
20,000	2020-02-19	No	4	X	Indirect
0	2020-02-19	No	4	X	Indirect
2,958		No	4	C	Indirect
0		No	4	C	Indirect

Footnotes

Each share of the Issuer's Series B preferred stock, Series B-1 preferred stock and Series C preferred stock was automatically converted on a 2.4-for-1 basis into common stock immediately prior to the closing of the Issuer's initial public offering. The shares of Series B preferred stock and Series C preferred stock had no expiration date.
The security listed in column 1 is held directly by Essex Capital Corporation ("Essex"), of which Ralph Iannelli is the sole stockholder.
The security listed in column 1 is held directly by KF Investment Partners, LP ("KF"). Essex is the 50% limited partner of KF, and Ralph Iannelli is the General Partner of KF and may be deemed to have voting and dispositive power with respect to such shares. Each Reporting Person disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein.
The security listed in column 1 is held directly in the name of SIU Capital LLC ("SIU"). Essex is the 50% limited partner of SIU, and Ralph Iannelli is the Managing Member of SIU, and may be deemed to have voting and dispositive power with respect to such shares. Each Reporting Person disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein.
Based upon and including the number of shares of common stock listed in column 4 issued upon the automatic conversion of the underlying shares of Series C preferred stock in accordance with Footnote (1) above, such shares of Series C preferred stock issued in accordance with the Cashless Exercise Provision set forth in Footnote (6) below.
The preferred stock warrant was automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision pursuant to which the holder receives a net number of shares of Series C preferred stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price (the "Cashless Exercise Provision"). The shares of Series C preferred stock have no expiration date.