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Neurogene Inc. — Director's Dealing 2014
Mar 12, 2014
33497_dirs_2014-03-12_ff87ee57-c35a-4fcd-a16f-1eadeec9b8c2.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: JOHNSON & JOHNSON (10% Owner)
Reporting Person: JOHNSON & JOHNSON DEVELOPMENT CORP ET AL (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-12 | Common Stock | C | 1392094 | — | Acquired | 1392094 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-12 | Series A-1 Preferred Stock | $ | C | 255681 | Disposed | Common Stock (255681) | Indirect | |
| 2014-03-12 | Series A-2 Preferred Stock | $ | C | 170454 | Disposed | Common Stock (170454) | Indirect | |
| 2014-03-12 | Series B-1 Preferred Stock | $ | C | 293884 | Disposed | Common Stock (293884) | Indirect | |
| 2014-03-12 | Series B-2 Preferred Stock | $ | C | 292532 | Disposed | Common Stock (292532) | Indirect | |
| 2014-03-12 | Series C Preferred Stock | $ | C | 379543 | Disposed | Common Stock (379543) | Indirect |
Footnotes
F1: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.
F2: Upon the closing of the Issuer's initial public offering each outstanding share of Preferred Stock automatically converted into Common Stock, on a 1-to-1 basis, for no additional consideration. There was no expiration applicable to the Preferred Stock.