0001192482-13-000213.txt : 20131211 0001192482-13-000213.hdr.sgml : 20131211 20131211180716 ACCESSION NUMBER: 0001192482-13-000213 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131211 FILED AS OF DATE: 20131211 DATE AS OF CHANGE: 20131211 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: Schmitt Paul J CENTRAL INDEX KEY: 0001390406 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36208 FILM NUMBER: 131271961 MAIL ADDRESS: STREET 1: PA EARLY STAGE PARTNERS STREET 2: 1200 LIBERTY RIDGE DRIVE, SUITE 310 CITY: WAYNE STATE: PA ZIP: 19087 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2013-12-11 0 0001361248 TETRALOGIC PHARMACEUTICALS CORP TLOG 0001390406 Schmitt Paul J C/O NOVITAS CAPITAL III, L.P. 116 RESEARCH DRIVE BETHLEHEM PA 18015 1 0 0 0 Series A Convertible Preferred Stock Common Stock 261437 I See footnote Series B Convertible Preferred Stock Common Stock 179738 I See footnote Series C Convertible Preferred Stock Common Stock 427440 I See footnote Series B Preferred Stock Warrants 7.65 2016-03-30 Common Stock 2723 I See footnote Series B Preferred Stock Warrants 7.65 2016-05-05 Common Stock 2723 I See footnote Common Stock Warrants .85 Common Stock 8742 I See footnote Common Stock Warrants .85 Common Stock 10491 I See footnote Convertible Notes Common Stock I See footnote Series C Warrants 6.4022 Common Stock I See footnote The Series A Convertible Preferred Stock will be automatically converted into Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering and has no expiration date. The Series B Convertible Preferred Stock will be automatically converted into Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering and has no expiration date. The Series C Convertible Preferred Stock will be automatically converted into Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering and has no expiration date. The warrants are immediately exercisable. The warrants are immediately exercisable. The warrants expire on the later of 11/25/2019 or five years after the consummation of the Company's initial public offering. The warrants are immediately exercisable. The warrants expire on the later of 03/10/2020 or five years after the consummation of the Company's initial public offering. The Convertible Notes and Accrued Interest will be automatically converted into Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering and have no expiration date. Warrants will be automatically exercised immediately prior to the closing of the Issuer's initial public offering. Warrants are exercisable for a number of shares of common stock equal to the warrant amount divided by the exercise price and will be net exercised at the initial public offering price. The securities are held of record by by Novitas Capital III, LP. ("Novitas III"), Novitas Capital III GP, LP ("Novitas GP") and Novitas Capital III GP Manager, LLC ("Novitas Manager"). Novitas GP is the general partner of Novitas III and Novitas Manager is the general partner of Novitas GP. Mr. Schmitt disclaims beneficial ownership of the shares beneficially owned by Novitas III, Novitas GP and Novitas Manager, except to the extent of his pecuniary interest therein. /s/ Richard L. Sherman, Attorney-In-Fact for Paul Schmitt 2013-12-11