0001104659-15-053974.txt : 20150728
0001104659-15-053974.hdr.sgml : 20150728
20150728203226
ACCESSION NUMBER: 0001104659-15-053974
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: Castelein Caley
CENTRAL INDEX KEY: 0001355758
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37508
FILM NUMBER: 151010929
MAIL ADDRESS:
STREET 1: THOM. WEISEL HEALTHCARE VENTURES
STREET 2: ONE MONTGOMERY STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BURRILL LIFE SCIENES CAPITAL FUND III L P
CENTRAL INDEX KEY: 0001353885
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37508
FILM NUMBER: 151010930
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER STE 2700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-591-5400
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER STE 2700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kearny Venture Assoicates II LLC
CENTRAL INDEX KEY: 0001648510
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37508
FILM NUMBER: 151010931
BUSINESS ADDRESS:
STREET 1: 88 KEARNY STREET
STREET 2: SUITE 1800
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94108
BUSINESS PHONE: (415) 875-7777
MAIL ADDRESS:
STREET 1: 88 KEARNY STREET
STREET 2: SUITE 1800
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94108
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dalal Anupam
CENTRAL INDEX KEY: 0001602474
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37508
FILM NUMBER: 151010932
MAIL ADDRESS:
STREET 1: 88 KEARNY STREET, SUITE 1800
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94108
4
1
a4.xml
4
X0306
4
2015-07-28
1
0001467652
Neos Therapeutics, Inc.
NEOS
0001648510
Kearny Venture Assoicates II LLC
C/O NEOS THERAPEUTICS, INC.
2940 N. HWY 360
GRANT PRAIRIE
TX
75050
0
0
1
0
0001353885
BURRILL LIFE SCIENES CAPITAL FUND III L P
C/O NEOS THERAPEUTICS, INC.
2940 N. HWY 360
GRANT PRAIRIE
TX
75050
0
0
1
0
0001355758
Castelein Caley
C/O NEOS THERAPEUTICS, INC.
2940 N. HWY 360
GRANT PRAIRIE
TX
75050
0
0
1
0
0001602474
Dalal Anupam
C/O NEOS THERAPEUTICS, INC.
2940 N. HWY 360
GRANT PRAIRIE
TX
75050
0
0
1
0
Common Stock
2015-07-28
4
C
0
180217
A
180217
I
See Footnote
Common Stock
2015-07-28
4
C
0
472897
A
653114
I
See Footnote
Common Stock
2015-07-28
4
C
0
561938
A
1215052
I
See Footnote
Series B Preferred Stock
2015-07-28
4
C
0
432523
D
Common Stock
180217
0
I
See Footnote
Series B-1 Preferred Stock
2015-07-28
4
C
0
1134954
D
Common Stock
472897
0
I
See Footnote
Series C Preferred Stock
2015-07-28
4
C
0
1348655
D
Common Stock
561938
0
I
See Footnote
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 (prior to the Company's 2.4-for-1 reverse common stock split the preferred stock would have converted on a 1-for-1 basis pursuant to its terms). The shares of Series B preferred stock, Series B-1 preferred stock and Series C preferred stock had no expiration date.
The security listed in column 1 is held directly by Burrill Life Sciences Capital Fund III, L.P. ("Burrill"). Kearny Venture Associates II, LLC ("KVA II"), is the General Partner of Burrill. Caley Castelein and Anupam Dalal are the managing members of KVA II and share both voting power and disposal power over the shares. Each Reporting Person disclaims beneficial ownership of the Securities, except to the extent of its pecuniary interest therein.
Kearny Venture Associates II, LLC, by: /s/ Caley Castelein, Managing Member
2015-07-28
Burrill Life Sciences Capital Fund III, L.P. by: its General Partner Kearny Venture Associates II, LLC, by: /s/ Caley Castelein, Managing Member
2015-07-28
/s/ Caley Castelein
2015-07-28
/s/ Anupam Dalal
2015-07-28