0001179110-15-011440.txt : 20150722 0001179110-15-011440.hdr.sgml : 20150722 20150722214425 ACCESSION NUMBER: 0001179110-15-011440 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150722 FILED AS OF DATE: 20150722 DATE AS OF CHANGE: 20150722 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: Dalal Anupam CENTRAL INDEX KEY: 0001602474 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151001059 MAIL ADDRESS: STREET 1: 88 KEARNY STREET, SUITE 1800 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castelein Caley CENTRAL INDEX KEY: 0001355758 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151001060 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151001061 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37508 FILM NUMBER: 151001062 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 3 1 edgar.xml FORM 3 - X0206 3 2015-07-22 0 0001467652 Neos Therapeutics, Inc. NEOS 0001648510 Kearny Venture Assoicates II LLC C/O NEOS THERAPEUTICS, INC. 2940 N. HIGHWAY 360 GRAND PRAIRIE TX 75050 0 0 1 0 0001353885 BURRILL LIFE SCIENES CAPITAL FUND III L P C/O NEOS THERAPEUTICS, INC. 2940 N. HIGHWAY 360 GRAND PRAIRIE TX 75050 0 0 1 0 0001355758 Castelein Caley C/O NEOS THERAPEUTICS, INC. 2940 N. HIGHWAY 360 GRAND PRAIRIE TX 75050 0 0 1 0 0001602474 Dalal Anupam C/O NEOS THERAPEUTICS, INC. 2940 N. HIGHWAY 360 GRAND PRAIRIE TX 75050 0 0 1 0 Series B Preferred Stock Common Stock 180217 I See footnote Series B-1 Preferred Stock Common Stock 472897 I See footnote Series C Preferred Stock Common Stock 561938 I See footnote Common Stock Warrant (Right to Buy) 0.024 2016-10-31 Common Stock 67685 I See footnote The Series B preferred stock, Series B-1 preferred stock and Series C preferred stock is convertible into common stock on a 2.4-for-1 basis into the number of shares of common stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, such conversion pursuant to the terms of the Issuer's certficaition of incorporation (the "Split"). Prior to the Split, the preferred stock would have converted on a 1-for-1 basis pursuant to the terms of the preferred stock set forth in the Issuer's then-effective certificate of incorporation. 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. The warrant is exercisable at any time for the number of shares of common stock as shown in column 3 at any time at the holder's election. Kearny Venture Associates II, LLC, by: /s/ Caley Castelein, Managing Member 2015-07-22 Burrill Life Sciences Capital Fund III, L.P. by: its General Partner Kearny Venture Associates II, LLC, by: /s/ Caley Castelein, Managing Member 2015-07-22 /s/ Caley Castelein 2015-07-22 /s/ Anupam Dalal 2015-07-22