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) 07/22/2015 | 3. Issuer Name and Ticker or Trading Symbol Neos Therapeutics, Inc. [ NEOS ] | |||||||||||||
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) |
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 | ||||
Series B Redeemable Preferred Stock, $0.001 par value | (1) | (1) | Common Stock | 406,250 | (1) | D | |
Series C Redeemable Preferred Stock, $0.001 par value | (1) | (1) | Common Stock | 677,622 | (1) | D | |
Preferred Stock Warrant (Right to Buy) | (2) | 01/30/2018 | Series C Convertible Preferred Stock | 390,000(2) | 5(2) | D | |
Series B Redeemable Preferred Stock, $0.001 par value | (1) | (1) | Common Stock | 10,416 | (1) | I | By: Presidio Partners 2007 (Parallel), L.P. |
Series C Redeemable Preferred Stock, $0.001 par value | (1) | (1) | Common Stock | 17,374 | (1) | I | By: Presidio Partners 2007 (Parallel), L.P. |
Preferred Stock Warrant (Right to Buy) | (2) | 01/30/2018 | Series C Convertible Preferred Stock | 10,000(2) | 5(2) | I | By: Presidio Partners 2007 (Parallel), L.P. |
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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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Each share of the issuer's Series B Preferred Stock and Series C Preferred Stock will be automatically converted on a 2.4 for 1 basis into common stock immediately prior to the closing of the issuer's initial public offering and has no expiration. |
2. The warrant is exercisable at the earlier of (i) the holder's election for the number of shares of Series C preferred stock (a) shown in column 3 at a price of $5.00 per share of Series C preferred stock or (b) such number of shares issuable pursuant to a cashless net exercise provision pursuant to which the holder surrenders the warrant and recieves a net number of shares of Series C preferred stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price (the "Cashless Exercise Provision"); and (ii) immediately prior to the closing of the Issuer's initial public offering pursuant to the Cashless Exercise Provision. |
Remarks: |
PRESIDIO PARTNERS 2007, L.P. By: Presidio Partners 2007 GP, L.P., its General Partner By: Presidio Partners 2007 GP LLC, its General Partner /s/ David J. Collier, Manager | 07/22/2015 | |
Presidio Partners 2007 (Parallel), L.P., By: /s/ David J. Collier, Manager | 07/22/2015 | |
Presidio Partners 2007 GP, L.P. /s/ David J. Collier, Manager | 07/22/2015 | |
Presidio Partners 2007 GP, LLC /s/ David J. Collier, Manager | 07/22/2015 | |
/s/ James F. Watson | 07/22/2015 | |
/s/ Faysal A. Sohail | 07/22/2015 | |
/s/ David J. Collier | 07/22/2015 | |
** 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. |