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Neurogene Inc. — Director's Dealing 2014
Mar 14, 2014
33497_dirs_2014-03-14_c8c27e53-6a8a-497a-a34d-58af8db60d10.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AQUINOX PHARMACEUTICALS, INC (AQXP)
CIK: 0001404644
Period of Report: 2014-03-12
Reporting Person: Bridger Gary (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-12 | Common Special Voting Stock | A | 36502 | $0.00 | Acquired | 40147 | Indirect |
| 2014-03-12 | Common Special Voting Stock | D | 40147 | $0.00 | Disposed | 0 | Indirect |
| 2014-03-12 | Series A-1 Special Voting Stock | D | 284090 | $0.00 | Disposed | 0 | Indirect |
| 2014-03-12 | Series A-2 Special Voting Stock | D | 189393 | $0.00 | Disposed | 0 | Indirect |
| 2014-03-12 | Series B-1 Special Voting Stock | D | 326538 | $0.00 | Disposed | 0 | Indirect |
| 2014-03-12 | Series B-2 Special Voting Stock | D | 325035 | $0.00 | Disposed | 0 | Indirect |
| 2014-03-12 | Series C Special Voting Stock | D | 378786 | $0.00 | Disposed | 0 | Indirect |
| 2014-03-12 | Common Stock | C | 1543989 | — | Acquired | 1543989 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-12 | Common Exchangeable Shares | $ | A | 36502 | Acquired | Common Stock (36502) | Indirect | |
| 2014-03-12 | Common Exchangeable Shares | $ | C | 40147 | Disposed | Common Stock (40147) | Indirect | |
| 2014-03-12 | Series A-1 Exchangeable Shares | $ | C | 284090 | Disposed | Series A-1 Preferred Stock (284090) | Indirect | |
| 2014-03-12 | Series A-1 Preferred Stock | $ | C | 284090 | Acquired | Common Stock (284090) | Indirect | |
| 2014-03-12 | Series A-1 Preferred Stock | $ | C | 284090 | Disposed | Common Stock (284090) | Indirect | |
| 2014-03-12 | Series A-2 Exchangeable Shares | $ | C | 189393 | Disposed | Series A-2 Preferred Stock (189393) | Indirect | |
| 2014-03-12 | Series A-2 Preferred Stock | $ | C | 189393 | Acquired | Common Stock (189393) | Indirect | |
| 2014-03-12 | Series A-2 Preferred Stock | $ | C | 189393 | Disposed | Common Stock (189393) | Indirect | |
| 2014-03-12 | Series B-1 Exchangeable Shares | $ | C | 326538 | Disposed | Series B-1 Preferred Stock (326538) | Indirect | |
| 2014-03-12 | Series B-1 Preferred Stock | $ | C | 326538 | Acquired | Common Stock (326538) | Indirect | |
| 2014-03-12 | Series B-1 Preferred Stock | $ | C | 326538 | Disposed | Common Stock (326538) | Indirect | |
| 2014-03-12 | Series B-2 Exchangeable Shares | $ | C | 325035 | Disposed | Series B-2 Preferred Stock (325035) | Indirect | |
| 2014-03-12 | Series B-2 Preferred Stock | $ | C | 325035 | Acquired | Common Stock (325035) | Indirect | |
| 2014-03-12 | Series B-2 Preferred Stock | $ | C | 325035 | Disposed | Common Stock (325035) | Indirect | |
| 2014-03-12 | Series C Exchangeable Shares | $ | C | 378786 | Disposed | Series C Preferred Stock (378786) | Indirect | |
| 2014-03-12 | Series C Preferred Stock | $ | C | 378786 | Acquired | Common Stock (378786) | Indirect | |
| 2014-03-12 | Series C Preferred Stock | $ | C | 378786 | Disposed | Common Stock (378786) | Indirect |
Footnotes
F1: Dr. Bridger is a managing director of Five Corners Capital Inc., the general partner of Ventures West 8 Limited Partnership. Dr. Bridger may be deemed to have voting and investment power with respectto shares held by Ventures West 8 Limited Partnership. Dr. Bridger disclaimes benefical ownership of such shares except to the extent of any pecuniary interest.
F2: Each share of the issuer's Common, Series A-1, Series A-2, Series B-1, Series B-2 and Series C Special Voting Stock was redeemed upon the closing of the issuer's initial public offering for $0.0000192 per share.
F3: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date.
F4: The Common Exchangeable Shares of Aquinox Pharmaceuticals Inc., a corporation under the Canadian Business Corporations Act ("AQXP Canada"), were exchanged for Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and have no expiration date.
F5: The Series A-1, Series A-2, Series B-1, Series B-2 and Series C Exchangeable Shares of AQXP Canada were exchanged for Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock, respectively, of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and have no expiration date.