Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-14-071302
Date:2014-11-25
Issuer: NEOTHETICS, INC. (NEOT)
Original Submission Date:

Reporting Person:

RMI INVESTMENTS S.A.R.L.
7, ROBERT STUMPER
GRAND DUCHY, N4 L-2557

Reporting Person:

RUSNANOMEDINVEST LLC
SOKOINICHESKY VAL STR.
OFFICE VII MOSCOW, 1Z 107113 38

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
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