0001104659-15-053972.txt : 20150728 0001104659-15-053972.hdr.sgml : 20150728 20150728203110 ACCESSION NUMBER: 0001104659-15-053972 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: ROBITAILLE GREGORY J CENTRAL INDEX KEY: 0001238910 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151010924 4 1 a4.xml 4 X0306 4 2015-07-28 0 0001467652 Neos Therapeutics, Inc. NEOS 0001238910 ROBITAILLE GREGORY J C/O NEOS THERAPEUTICS, INC. 2940 N. HWY 360 GRAND PRAIRIE TX 75050 1 0 0 0 Common Stock 2015-07-28 4 C 0 3604 A 29314 D Common Stock 2015-07-28 4 C 0 9458 A 38772 D Common Stock 2015-07-28 4 C 0 8703 A 47475 D Common Stock 2015-07-28 4 C 0 350 A 47825 D Series B Preferred Stock 2015-07-28 4 C 0 8650 D Common Stock 3604 0 D Series B-1 Preferred Stock 2015-07-28 4 C 0 22700 D Common Stock 9458 0 D Series C Preferred Stock 2015-07-28 4 C 0 20890 D Common Stock 8703 0 D Preferred Stock Warrant (Right to Buy) 2015-07-28 4 X 0 4200 D 2020-02-23 Series C Preferred Stock 840 0 D Series C Preferred Stock 2015-07-28 4 C 0 840 D Common Stock 350 0 D 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. 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 received 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/ Benjamin Piper, attorney-in-fact 2015-07-28