Filing Details
- Accession Number:
- 0001181431-10-055847
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-16 13:57:23
- Reporting Period:
- 2010-11-16
- Filing Date:
- 2010-11-16
- Accepted Time:
- 2010-11-16 13:57:23
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1361103 | Complete Genomics Inc | GNOM | Services-Commercial Physical & Biological Research (8731) | 203226545 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1250018 | E Andrew Senyei | C/O Enterprise Partners 2223 Avenida De La Playa, Suite 300 La Jolla CA 92037-3218 | Yes | No | Yes | 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, Par Value $0.001 | Acquisiton | 2010-11-16 | 66,138 | $0.00 | 66,138 | No | 4 | C | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Acquisiton | 2010-11-16 | 27,049 | $0.00 | 101,043 | No | 4 | C | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Acquisiton | 2010-11-16 | 176,737 | $0.00 | 176,737 | No | 4 | C | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Acquisiton | 2010-11-16 | 259,458 | $0.00 | 436,195 | No | 4 | C | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Acquisiton | 2010-11-16 | 138,794 | $7.56 | 574,989 | No | 4 | X | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Disposition | 2010-11-16 | 23,133 | $9.00 | 551,856 | No | 4 | F | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Acquisiton | 2010-11-16 | 17,261 | $7.56 | 569,117 | No | 4 | X | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Disposition | 2010-11-16 | 14,500 | $9.00 | 554,617 | No | 4 | F | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Acquisiton | 2010-11-16 | 8,378 | $7.56 | 562,995 | No | 4 | X | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Disposition | 2010-11-16 | 7,038 | $9.00 | 555,957 | No | 4 | F | Indirect | See Footnote |
| Common Stock, Par Value $0.001 | Acquisiton | 2010-11-16 | 111,111 | $9.00 | 667,068 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | F | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | F | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | F | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase Series D Preferred Stock | Disposition | 2010-11-16 | 17,261 | $0.00 | 17,261 | $7.56 |
| Common Stock | Warrant to Purchase Series D Preferred Stock | Disposition | 2010-11-16 | 2,958 | $0.00 | 2,958 | $7.56 |
| Common Stock | Warrant to Purchase Series D Preferred Stock | Disposition | 2010-11-16 | 8,378 | $0.00 | 8,378 | $7.56 |
| Common Stock | Warrant to Purchase Series D Preferred Stock | Disposition | 2010-11-16 | 1,096 | $0.00 | 1,096 | $7.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-04-06 | No | 4 | X | Indirect | |
| 0 | 2014-06-12 | No | 4 | X | Indirect | |
| 0 | 2014-06-12 | No | 4 | X | Indirect | |
| 0 | 2014-08-05 | No | 4 | X | Indirect |
Footnotes
- The shares are owned by Enterprise Partners VI, LP ("Enterprise VI"). Enterprise Management Partners VI, LLC ("Enterprise VI LLC") serves as the general partner of Enterprise VI. Andrew E. Senyei, M.D. is a managing director of Enterprise VI LLC and shares voting and investment power over the shares held by Enterprise VI. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- Each share of Series D and Series E Preferred Stock was automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering.
- The shares are owned by Enterprise Partners Management, LLC ("Enterprise LLC"). Andrew E. Senyei, M.D. is a managing director of Enterprise LLC and shares voting and investment power over the shares held by Enterprise LLC. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- The shares are owned by Enterprise Partners V, LP ("Enterprise V"). Enterprise Management Partners V, LLC ("Enterprise V LLC") serves as the general partner of Enterprise V. Andrew E. Senyei, M.D. is a managing director of Enterprise V LLC and shares voting and investment power over the shares held by Enterprise V. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- The securities are immediately convertible.
- The warrant is immediately exercisable.
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