0001192482-13-000238.txt : 20131219 0001192482-13-000238.hdr.sgml : 20131219 20131219124723 ACCESSION NUMBER: 0001192482-13-000238 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131217 FILED AS OF DATE: 20131219 DATE AS OF CHANGE: 20131219 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TETRALOGIC PHARMACEUTICALS CORP CENTRAL INDEX KEY: 0001361248 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 343 PHOENIXVILLE PIKE CITY: MALVERN STATE: PA ZIP: 19355 BUSINESS PHONE: 610-889-9900 MAIL ADDRESS: STREET 1: 343 PHOENIXVILLE PIKE CITY: MALVERN STATE: PA ZIP: 19355 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reed Douglas MD CENTRAL INDEX KEY: 0001291262 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36208 FILM NUMBER: 131287713 MAIL ADDRESS: STREET 1: C/O VECTOR FUND MANAGEMENT STREET 2: 1751 LAKE COOK ROAD, SUITE 350 CITY: DEERFIELD STATE: IL ZIP: 60015 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-12-17 0001361248 TETRALOGIC PHARMACEUTICALS CORP TLOG 0001291262 Reed Douglas MD C/O TETRALOGIC PHARMACEUTICALS CORP 343 PHOENIXVILLE PIKE MALVERN PA 19355 1 0 0 0 Common Stock 2013-12-17 4 P 0 142857 7.00 A 142857 I See footnote Common Stock 2013-12-17 4 C 0 780980 A 923837 I See footnote Common Stock 2013-12-17 4 C 0 278315 7.00 A 1202152 I See footnote Common Stock 2013-12-17 4 X 0 7590 6.4022 A 1209742 I See footnote Series C Convertible Stock 2013-12-17 4 C 0 780980 D Common Stock 780980 0 I See footnotes Convertible Notes 7.00 2013-12-17 4 C 0 278315 D Common Stock 278315 0 I See footnotes Warrants 6.4022 2013-12-17 4 X 0 7590 D Common Stock 7590 0 I See footnotes 780,980 shares of Series C Convertible Preferred Stock converted to 780,980 shares of Common Stock at the time of the Company's initial public offering on December 17, 2013. The Convertible Notes and Accrued Interest automatically converted into Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering, at the initial public offering price of $7.00 per share, which occurred on December 17, 2013. The warrants were automatically exercised immediately prior to the closing of the Issuer's initial public offering for a number of shares of common stock equal to the warrant amount divided by $6.4022 and net exercised at the initial public offering price of $7.00 per share. The securities are held of record by Hatteras Venture Partners III, L.P. ("HVPIII") and Hatteras Venture Affiliates, L.P. ("HVAIII"). Hatteras Venture Advisors, LLC is the General Partner of HVPIIII. The reporting person, a partner in HVPIII and HVAIII, has voting and investment power over the shares beneficially owned by HVPIII and HVAIII, and disclaims beneficial ownership of the shares beneficially owned by HVPIII and HVAIII, except to the extent of his pecuniary interest therein. /s/ Richard L. Sherman, Attorney-In-Fact for Douglas Reed 2013-12-19