TETRALOGIC PHARMACEUTICALS CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 47 rows, 47 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-14: Reporting owner Whitebox Multi-Strategy Partners LP | WHITEBOX ADVISORS LLC | WHITEBOX GENERAL PARTNER LLC | Whitebox Relative Value Partners, L.P. | Whitebox GT Fund, LP | Pandora Select Partners, L.P.; Form 4; Security Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2016-11-14: Reporting owner NOMURA SECURITIES INTERNATIONAL, INC. | NOMURA HOLDINGS INC; Form 4; Security Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2016-11-14: Reporting owner Gerber Sander | Hudson Bay Capital Management LP; Form 4; Security Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2016-11-14: Reporting owner GEODE CAPITAL MANAGEMENT LP; Form 4; Security Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-14 | Whitebox Multi-Strategy Partners LP | WHITEBOX ADVISORS LLC | WHITEBOX GENERAL PARTNER LLC | Whitebox Relative Value Partners, L.P. | Whitebox GT Fund, LP | Pandora Select Partners, L.P. Other (See Remarks) | Other (See Remarks) | Other (See Remarks) | Other (See Remarks) | Other (See Remarks) | Other (See Remarks) | 4 | Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | 3,018,260 owned after | no price filed | 2016-11-14 | |
| 2016-11-14 | NOMURA SECURITIES INTERNATIONAL, INC. | NOMURA HOLDINGS INC Other (See Remarks) | Other (See Remarks) | 4 | Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | 892,850 owned after | no price filed | 2016-11-14 | |
| 2016-11-14 | Gerber Sander | Hudson Bay Capital Management LP Other (See Remarks) | Other (See Remarks) | 4 | Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | 279,367 owned after | no price filed | 2016-11-14 | |
| 2016-11-14 | GEODE CAPITAL MANAGEMENT LP Other (See Remarks) | 4 | Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | 1,257,144 owned after | no price filed | 2016-11-14 | |
| 2016-11-14 | TELEMETRY SECURITIES, L.L.C. Other (See Remarks) | 4 | Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | 838,094 owned after | no price filed | 2016-11-14 | |
| 2016-11-14 | Linden Capital L.P. | LINDEN ADVISORS LP Other (See Remarks) | Other (See Remarks) | 4 | Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | 2,095,239 owned after | no price filed | 2016-11-14 | |
| 2016-11-14 | LAZARD ASSET MANAGEMENT LLC Other (See Remarks) | 4 | Preferred Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | 1,463,594 owned after | no price filed | 2016-11-14 | |
| 2016-11-14 | State of New Jersey Common Pension Fund D Other (See Remarks) | 4 | Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | 911,011 owned after | no price filed | 2016-11-14 | |
| 2013-12-17 | Woody James N. Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −354,663 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Woody James N. Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −17,733 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Woody James N. Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −8,866 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Woody James N. Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −227,266 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Woody James N. Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −11,363 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Woody James N. Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −5,681 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Schmitt Paul J Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −261,437 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Schmitt Paul J Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −179,738 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Schmitt Paul J Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −427,440 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Pecora Andrew L Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −16,055 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | LIPTAK ROBERT | Clarus Ventures II, LLC | HENNER DENNIS | Clarus Lifesciences II, L.P. | GALAKATOS NICHOLAS | Clarus Ventures II GP, L.P. | WHEELER KURT | STEINMETZ MICHAEL | Simon Nicholas 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,342,944 0 owned after | no price filed | 2013-12-19 | |
| 2013-12-17 | Amgen Ventures LLC | AMGEN INC 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −117,361 0 owned after | $0.00 | 2013-12-18 | |
| 2013-12-17 | Amgen Ventures LLC | AMGEN INC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −13,355 0 owned after | $0.00 | 2013-12-18 | |
| 2013-12-17 | Amgen Ventures LLC | AMGEN INC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Warrants (Right To Buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | 0 owned after | $6.40 exercise price | 2013-12-18 | |
| 2013-12-17 | HEALTHCARE VENTURES VII LP | LITTLECHILD JOHN W | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | WERNER HAROLD R | Mirabelli Christopher | ONSI DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −5,000,000 0 owned after | $0.00 | 2013-12-17 | |
| 2013-12-17 | HEALTHCARE VENTURES VII LP | LITTLECHILD JOHN W | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | WERNER HAROLD R | Mirabelli Christopher | ONSI DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −7,453,704 0 owned after | $0.00 | 2013-12-17 | |
| 2013-12-17 | HEALTHCARE VENTURES VII LP | LITTLECHILD JOHN W | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | WERNER HAROLD R | Mirabelli Christopher | ONSI DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −8,603,477 0 owned after | $0.00 | 2013-12-17 | |
| 2013-12-17 | HEALTHCARE VENTURES VII LP | LITTLECHILD JOHN W | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | WERNER HAROLD R | Mirabelli Christopher | ONSI DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 4 | Preferred Stock Warrant Derivative · Indirect · See Footnote | C Conversion of derivative security | 0 owned after | $6.40 exercise price | 2013-12-17 | |
| 2013-12-12 holding as of filing | Amgen Ventures LLC | AMGEN INC 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-12-12 | ||
| 2013-12-12 holding as of filing | Amgen Ventures LLC | AMGEN INC 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-12-12 | ||
| 2013-12-12 holding as of filing | Amgen Ventures LLC | AMGEN INC 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Warrants (Right To Buy) Derivative · Indirect · (m) | Holding | $6.40 exercise price | 2013-12-12 | ||
| 2013-12-11 holding as of filing | Mirabelli Christopher | ONSI DOUGLAS E | HEALTHCARE VENTURES VII LP | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | CAVANAUGH JAMES H | LITTLECHILD JOHN W | WERNER HAROLD R 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Mirabelli Christopher | ONSI DOUGLAS E | HEALTHCARE VENTURES VII LP | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | CAVANAUGH JAMES H | LITTLECHILD JOHN W | WERNER HAROLD R 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Mirabelli Christopher | ONSI DOUGLAS E | HEALTHCARE VENTURES VII LP | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | CAVANAUGH JAMES H | LITTLECHILD JOHN W | WERNER HAROLD R 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Mirabelli Christopher | ONSI DOUGLAS E | HEALTHCARE VENTURES VII LP | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | CAVANAUGH JAMES H | LITTLECHILD JOHN W | WERNER HAROLD R 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Preferred Stock Warrant Derivative · Indirect · See Footnote | Holding | $6.40 exercise price | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Woody James N. Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Directly owned by LVP Life Science Ventures III, L.P | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Woody James N. Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Directly owned by LVP III Associates, L.P. | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Woody James N. Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Directly owned by LVP III Partners, L.P. | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Woody James N. Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · Directly owned by LVP Life Sciences Ventures III, L.P. | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Woody James N. Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · Directly owned by LVP III Associates, L.P. | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Woody James N. Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · Directly owned by LVP Partners III, L.P. | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Reed Douglas MD Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Clarus Ventures II GP, L.P. | LIPTAK ROBERT | HENNER DENNIS | Simon Nicholas | STEINMETZ MICHAEL | Clarus Lifesciences II, L.P. | WHEELER KURT | Clarus Ventures II, LLC | GALAKATOS NICHOLAS 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Pecora Andrew L Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Schmitt Paul J Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Schmitt Paul J Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Schmitt Paul J Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Schmitt Paul J Director | 3 | Series B Preferred Stock Warrants Derivative · Indirect · See footnote | Holding | $7.65 exercise price | 2013-12-11 | ||
| 2013-12-11 holding as of filing | Schmitt Paul J Director | 3 | Series B Preferred Stock Warrants Derivative · Indirect · See footnote | Holding | $7.65 exercise price | 2013-12-11 |