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