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