Filing Details
- Accession Number:
- 0001209191-17-027905
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-04-21 17:34:28
- Reporting Period:
- 2017-04-19
- Filing Date:
- 2017-04-21
- Accepted Time:
- 2017-04-21 17:34:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1419041 | Tocagen Inc | TOCA | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1236447 | Paul Schimmel | C/O Tocagen Inc. 3030 Bunker Hill, Ste. 230 San Diego CA 92109 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-04-19 | 23,464 | $0.00 | 23,464 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2017-04-19 | 4,117 | $0.00 | 4,117 | No | 4 | C | Indirect | By NFS/FMTC FBO Paul Schimmel Rollover IRA |
| Common Stock | Acquisiton | 2017-04-19 | 3,623 | $0.00 | 3,623 | No | 4 | C | Indirect | By Paul Schimmel Prototype PSP Paul R. Schimmel, TTEE U/A dtd 01/01/1999 FBO Paul Schimmel |
| Common Stock | Acquisiton | 2017-04-19 | 3,623 | $0.00 | 3,623 | No | 4 | C | Indirect | By Schimmel Revocable Trust Paul R. Schimmel, Trustee Cleo Schimmel, Trustee U/A dtd 9/6/2000 |
| Common Stock | Acquisiton | 2017-04-19 | 10,000 | $10.00 | 13,623 | No | 4 | P | Indirect | By Schimmel Revocable Trust Paul R. Schimmel, Trustee Cleo Schimmel, Trustee U/A dtd 9/6/2000 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Indirect | By NFS/FMTC FBO Paul Schimmel Rollover IRA |
| No | 4 | C | Indirect | By Paul Schimmel Prototype PSP Paul R. Schimmel, TTEE U/A dtd 01/01/1999 FBO Paul Schimmel |
| No | 4 | C | Indirect | By Schimmel Revocable Trust Paul R. Schimmel, Trustee Cleo Schimmel, Trustee U/A dtd 9/6/2000 |
| No | 4 | P | Indirect | By Schimmel Revocable Trust Paul R. Schimmel, Trustee Cleo Schimmel, Trustee U/A dtd 9/6/2000 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series H Preferred Stock | Disposition | 2017-04-19 | 161,906 | $0.00 | 23,464 | $0.00 |
| Common Stock | Series F Preferred Stock | Disposition | 2017-04-19 | 28,410 | $0.00 | 4,117 | $0.00 |
| Common Stock | Series G Preferred Stock | Disposition | 2017-04-19 | 25,000 | $0.00 | 3,623 | $0.00 |
| Common Stock | Series G Preferred Stock | Disposition | 2017-04-19 | 25,000 | $0.00 | 3,623 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-6.9 basis. The shares have no expiration date.
- The shares were purchased at the Issuer's initial public offering.
Billionaire Hedge Funds
