SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 07/24/2018 | 3. Issuer Name and Ticker or Trading Symbol Aquestive Therapeutics, Inc. [ AQST ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 75,085(1) | D | |
Common Stock | 2,249,077 | I | See Footnotes(2)(3)(4) |
Common Stock | 2,213,314 | I | See Footnotes(2)(3)(5) |
Common Stock | 4,032,907 | I | See Footnotes(2)(3)(6) |
Common Stock | 2,755,541 | I | See Footnotes(2)(3)(7) |
Common Stock | 87,455 | I | See Footnotes(2)(3)(8) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Represents shares of the Issuer's non-voting common stock. The non-voting shares will become regular voting common stock upon the consummation of the Issuer's initial public offering. |
2. These securities are owned, as indicated, by MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline"), MonoLine Rx II, L.P. ("Monoline II"), MonoLine Rx III, L.P. ("Monoline III") and Monosol Rx Genpar, L.P. ("Monosol Rx Genpar," and collectively with MRX Partners, Monoline, Monoline II and Monoline III, the "Monosol Entities"). Bratton Capital Management L.P. ("Bratton Capital Management") is the general partner of each of the Monosol Entities (other than Monoline Rx Genpar); Bratton Capital Inc. ("Bratton") is the general partner of Bratton Capital Management and Monosol Rx Genpar; and the Reporting Person, Douglas K. Bratton, is the sole director of Bratton. |
3. The Monosol Entities are each ultimately controlled by Mr. Bratton; Mr. Bratton has voting and investment power over all shares held by the Monosol Entities; and Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to beneficially own all shares held of record by the Monosol Entities. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. |
4. These securities are owned of record by MRX Partners. |
5. These securities are owned of record by Monoline. |
6. These securities are owned of record by Monoline II. |
7. These securities are owned of record by Monoline III. |
8. These securities are owned of record by Monosol Rx Genpar. |
By: Robert Arnold, as Attorney-in-Fact for Douglas Bratton | 07/24/2018 | |
By: Robert Arnold, as Attorney-in-Fact for Douglas Bratton, Authorized Signatory for MRX Partners, LLC | 07/24/2018 | |
By: Robert Arnold, as Attorney-in-Fact for Douglas Bratton, Authorized Signatory for MonoLine Rx, L.P. | 07/24/2018 | |
By: Robert Arnold, as Attorney-in-Fact for Douglas Bratton, Authorized Signatory for MonoLine Rx II, L.P. | 07/24/2018 | |
By: Robert Arnold, as Attorney-in-Fact for Douglas Bratton, Authorized Signatory for MonoLine Rx III, L.P. | 07/24/2018 | |
By: Robert Arnold, as Attorney-in-Fact for Douglas Bratton, Authorized Signatory for Monosol Rx Genpar, L.P. | 07/24/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |