Accession Number: | 0001209191-14-071302 |
Date: | 2014-11-25 |
Issuer: | NEOTHETICS, INC. (NEOT) |
Original Submission Date: |
RMI INVESTMENTS S.A.R.L.
7, ROBERT STUMPER
GRAND DUCHY, N4 L-2557
RUSNANOMEDINVEST LLC
SOKOINICHESKY VAL STR.
OFFICE VII
MOSCOW, 1Z 107113 38
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2014-11-25 | C | 1,515,549 | a | $0.00 | 1,515,549 f2 | direct | ||
COMMON STOCK | 2014-11-25 | P | 70,000 | a | $14.00 | 1,585,549 f2 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
SERIES C PREFERRED STOCK | 0.0 | 2014-11-25 | deemed execution date | C | 9,244,852 (d) | common stock 9,244,852 | $0.00 | 0 | direct |
ID | footnote |
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f1 | immediately prior to but contingent upon the closing of the initial public offering of the issuer's common stock, all outstanding shares of preferred stock will be automatically converted, for no additional consideration, into shares of the issuer's common stock. the preferred stock will convert pursuant to the applicable conversion ratio, as listed in the amended and restated certificate of incorporation of the issuer, and reflect a 6.1-for-1 stock split of the issuer's common stock which occurred on november 7, 2014. |
f2 | the reporting person is a wholly-owned subsidiary of rusnano medinvest, llc ("rmi llc"). rmi llc is the beneficiary of the reporting person. rmi llc has voting and dispositive power over the shares held by the reporting person. |