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