0001104659-15-053971.txt : 20150728 0001104659-15-053971.hdr.sgml : 20150728 20150728203041 ACCESSION NUMBER: 0001104659-15-053971 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150728 FILED AS OF DATE: 20150728 DATE AS OF CHANGE: 20150728 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Neos Therapeutics, Inc. CENTRAL INDEX KEY: 0001467652 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 270395455 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2940 N. HIGHWAY 360 STREET 2: SUITE 400 CITY: GRAND PRAIRIE STATE: TX ZIP: 75050 BUSINESS PHONE: 972.408.1360 MAIL ADDRESS: STREET 1: 2940 N. HIGHWAY 360 STREET 2: SUITE 400 CITY: GRAND PRAIRIE STATE: TX ZIP: 75050 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DELAWARE STREET CAPITAL L P CENTRAL INDEX KEY: 0001348239 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151010917 BUSINESS ADDRESS: STREET 1: 900 NORTH MICHIGAN AVE STREET 2: SUITE 1900 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312-915-2400 MAIL ADDRESS: STREET 1: 900 NORTH MICHIGAN AVE STREET 2: SUITE 1900 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DSC Advisors, L.P. CENTRAL INDEX KEY: 0001299434 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151010919 BUSINESS ADDRESS: STREET 1: 900 NORTH MICHIGAN AVENUE STREET 2: SUITE 1600 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: (312) 915-2485 MAIL ADDRESS: STREET 1: 900 NORTH MICHIGAN AVENUE STREET 2: SUITE 1600 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DSC Advisors, L.L.C. CENTRAL INDEX KEY: 0001648574 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151010920 BUSINESS ADDRESS: STREET 1: 900 N. MICHIGAN, SUITE 1600 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312-915-2886 MAIL ADDRESS: STREET 1: 900 N. MICHIGAN, SUITE 1600 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Delaware Street Capital Master Fund, L.P. CENTRAL INDEX KEY: 0001648576 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151010921 BUSINESS ADDRESS: STREET 1: 900 N. MICHIGAN, SUITE 1600 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312-915-2886 MAIL ADDRESS: STREET 1: 900 N. MICHIGAN, SUITE 1600 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLUHM ANDREW G CENTRAL INDEX KEY: 0001083033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151010922 MAIL ADDRESS: STREET 1: 900 NORTH MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DSC Managers, L.L.C. CENTRAL INDEX KEY: 0001648612 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151010918 BUSINESS ADDRESS: STREET 1: 900 N. MICHIGAN, SUITE 1600 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312-915-2886 MAIL ADDRESS: STREET 1: 900 N. MICHIGAN, SUITE 1600 CITY: CHICAGO STATE: IL ZIP: 60611 4 1 a4.xml 4 X0306 4 2015-07-28 1 0001467652 Neos Therapeutics, Inc. NEOS 0001083033 BLUHM ANDREW G C/O NEOS THERAPEUTICS, INC. 2940 N. HWY 360 GRAND PRAIRIE TX 75050 0 0 1 0 0001648576 Delaware Street Capital Master Fund, L.P. C/O NEOS THERAPEUTICS, INC. 2940 N. HWY 360 GRAND PRAIRIE TX 75050 0 0 1 0 0001648574 DSC Advisors, L.L.C. C/O NEOS THERAPEUTICS, INC. 2940 N. HWY 360 GRAND PRAIRIE TX 75050 0 0 1 0 0001299434 DSC Advisors, L.P. C/O NEOS THERAPEUTICS, INC. 2940 N. HWY 360 GRAND PRAIRIE TX 75050 0 0 1 0 0001648612 DSC Managers, L.L.C. C/O NEOS THERAPEUTICS, INC. 2940 N. HWY 360 GRAND PRAIRIE TX 75050 0 0 1 0 0001348239 DELAWARE STREET CAPITAL L P C/O NEOS THERAPEUTICS, INC. 2940 N. HWY 360 GRAND PRAIRIE TX 75050 0 0 1 0 Common Stock 2015-07-28 4 C 0 63753 A 63753 I See Footnotes Common Stock 2015-07-28 4 C 0 205825 A 269578 I See Footnotes Common Stock 2015-07-28 4 C 0 623550 A 893128 I See Footnotes Common Stock 2015-07-28 4 C 0 14230 A 907358 I See Footnotes Series B Preferred Stock 2015-07-28 4 C 0 153009 D Common Stock 63753 0 I See Footnotes Series B-1 Preferred Stock 2015-07-28 4 C 0 493982 D Common Stock 205825 0 I See Footnotes Series C Preferred Stock 2015-07-28 4 C 0 1496521 D Common Stock 623550 0 I See Footnotes Preferred Stock Warrant (Right to Buy) 2015-07-28 4 X 0 170766 D Series C Preferred Stock 34153 0 I See Footnotes Series C Preferred Stock 2015-07-28 4 C 0 34153 D Common Stock 14230 0 I See 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, Series B-1 preferred stock and Series C preferred stock had no expiration date. Delaware Street Capital Master Fund, L.P. directly owns all of the securities set forth in column 1. As the principal of (i) DSC Advisors, L.L.C., the general partner of DSC Advisors, L.P. ("IM"), the investment manager to Delaware Street Capital Master Fund, L.P., and (ii) DSC Managers, L.L.C. ("GP"), the general partner of Delaware Street Capital Master Fund, L.P. and Delaware Street Capital, L.P., Andrew Bluhm may be deemed the beneficial owner of a portion of the securities owned by Delaware Street Capital Master Fund, L.P. Delaware Street Capital, L.P. is a "feeder fund" that invests all or substantially all of its investable assets in Delaware Street Capital Master Fund, L.P. An affiliate of IM, GP has granted all discretion over Delaware Street Capital Master Fund, L.P.'s investment activities to IM. IM does not have a pecuniary interest in Delaware Street Capital Master Fund, L.P. Pursuant to Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported herein to the extent of his or its pecuniary interest therein, but this filing shall not be deemed an admission that any Reporting Person is or was, for the purposes of Section 16 of the Act of otherwise, a beneficial owner of any securities of the Issuer. Such beneficial ownership is and was expressly disclaimed by each of the Reporting Persons except to the extent of their pecuniary interests. 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.. /s/ Andrew Bluhm 2015-07-28 DSC Advisors, L.P., by: DSC Advisors, L.L.C., the general partner of DSC Advisors, L.P., by: /s/ Andrew Bluhm, managing member 2015-07-28 DSC Advisors, L.L.C., by: /s/ Andrew Bluhm, managing member 2015-07-28 DSC Managers, L.L.C., by: /s/ Andrew Bluhm, managing member 2015-07-28 Delaware Street Capital Master Fund, L.P., by: DSC Managers, L.L.C., the general partner of Delaware Street Capital Master Fund, L.P., by: /s/ Andrew Bluhm 2015-07-28 Delaware Street Capital, L.P., by: DSC Managers, L.L.C., the general partner of Delaware Street Capital, L.P., by: /s/ Andrew Bluhm, managing member 2015-07-28