0001192482-13-000241.txt : 20131219 0001192482-13-000241.hdr.sgml : 20131219 20131219125111 ACCESSION NUMBER: 0001192482-13-000241 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: Pecora Andrew L CENTRAL INDEX KEY: 0001510184 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36208 FILM NUMBER: 131287733 MAIL ADDRESS: STREET 1: C/O NEOSTEM, INC. STREET 2: 420 LEXINGTON AVENUE, SUITE 450 CITY: NEW YORK STATE: NY ZIP: 10170 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-12-17 0001361248 TETRALOGIC PHARMACEUTICALS CORP TLOG 0001510184 Pecora Andrew L C/O TETRALOGIC PHARMACEUTICALS CORP 343 PHOENIXVILLE PIKE MALVERN PA 19355 1 0 0 0 Common Stock 2013-12-17 4 P 0 26551 7.00 A 42727 I See footnote Common Stock 2013-12-17 4 C 0 16055 A 58782 I See footnote Common Stock 2013-12-17 4 C 0 5887 7.00 A 64669 I See footnote Common Stock 2013-12-17 4 X 0 161 6.4022 A 64830 I See footnote Series C Convertible Preferred Stock 2013-12-17 4 C 0 16055 D Common Stock 16055 0 I See footnotes Convertible Notes 7.00 2013-12-17 4 C 0 5887 D Common Stock 5887 0 I See footnotes Series C Warrants 6.4022 2013-12-17 4 X 0 161 D Common Stock 161 0 I See footnotes Shares of Series C Convertible Preferred Stock were automatically converted to the same number of 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. Held by Pecora & Co., LLC.. The reporting person is the Chairman of Pecora & Company, LLC and has voting and investment power with respect to such shares held by Pecora & Co., LLC. /s/ Richard L. Sherman, Attorney-In-Fact for Andrew Pecora 2013-12-19