Home > Insider Trading > Filing (0001181431-10-055863)

Filing Details

Accession Number:: 0001181431-10-055863
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2010-11-16 14:07:56
Reporting Period:: 2010-11-16

Filing Date:: 2010-11-16
Accepted Time:: 2010-11-16 14:07:56
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
1162058	E Alexander Barkas	C/O Prospect Venture Partners 435 Tasso Street, Suite 200 Palo Alto CA 94301		Yes	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	601,248	$0.00	601,248	No	4	C	Indirect	See Footnote
Common Stock, Par Value $0.001	Acquisiton	2010-11-16	160,552	$0.00	761,800	No	4	C	Indirect	See Footnote
Common Stock, Par Value $0.001	Acquisiton	2010-11-16	674,426	$0.00	1,436,226	No	4	C	Indirect	See Footnote
Common Stock, Par Value $0.001	Acquisiton	2010-11-16	807,760	$0.00	2,243,986	No	4	C	Indirect	See Footnote
Common Stock, Par Value $0.001	Acquisiton	2010-11-16	29,343	$7.56	2,273,329	No	4	X	Indirect	See Footnote
Common Stock, Par Value $0.001	Disposition	2010-11-16	24,649	$9.00	2,248,680	No	4	F	Indirect	See Footnote
Common Stock, Par Value $0.001	Acquisiton	2010-11-16	31,299	$7.56	2,279,979	No	4	X	Indirect	See Footnote
Common Stock, Par Value $0.001	Disposition	2010-11-16	26,292	$9.00	2,253,687	No	4	F	Indirect	See Footnote
Common Stock, Par Value $0.001	Acquisiton	2010-11-16	10,240	$7.56	2,263,927	No	4	X	Indirect	See Footnote
Common Stock, Par Value $0.001	Disposition	2010-11-16	8,602	$9.00	2,255,325	No	4	F	Indirect	See Footnote
Common Stock, Par Value $0.001	Acquisiton	2010-11-16	990	$7.56	2,256,315	No	4	X	Indirect	See Footnote
Common Stock, Par Value $0.001	Disposition	2010-11-16	832	$9.00	2,255,483	No	4	F	Indirect	See Footnote
Common Stock, Par Value $0.001	Acquisiton	2010-11-16	333,333	$9.00	2,994,358	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	X	Indirect	See Footnote
No	4	F	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Preferred Stock	Disposition	2010-11-16	601,248	$0.00	601,248	$0.00
Common Stock	Series C Preferred Stock	Disposition	2010-11-16	160,552	$0.00	160,552	$0.00
Common Stock	Series D Preferred Stock	Disposition	2010-11-16	674,426	$0.00	674,426	$0.00
Common Stock	Series E Preferred Stock	Disposition	2010-11-16	807,760	$0.00	807,760	$0.00
Common Stock	Warrant to Purchase Series D Preferred Stock	Disposition	2010-11-16	29,343	$0.00	29,343	$7.56
Common Stock	Warrant to Purchase Series D Preferred Stock	Disposition	2010-11-16	31,299	$0.00	31,299	$7.56
Common Stock	Warrant to Purchase Series D Preferred Stock	Disposition	2010-11-16	10,240	$0.00	10,240	$7.56
Common Stock	Warrant to Purchase Series D Preferred Stock	Disposition	2010-11-16	990	$0.00	990	$7.56

Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
2014-02-13	No	4	X	Indirect
2014-04-06	No	4	X	Indirect
2014-06-12	No	4	X	Indirect
2014-08-05	No	4	X	Indirect

Footnotes

Each share of Series B Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 5.926613 conversion ratio applicable to such shares.
The shares are owned by Prospect Venture Partners III, L.P. ("PVP III"). Prospect Management Co. III, L.L.C. ("PMC III") serves as the general partner of PVP III. Alexander E. Barkas, Ph.D., is a Managing Director of PMC III and shares voting and investment power over the shares held by PVP III. 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 C Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 8.241076 conversion ratio applicable to such shares.
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 securities are immediately convertible.
The expiration date is not relevant to the conversion of these securities.
The warrant is immediately exercisable.
PVP III purchased an additional 333,333 shares of Issuer's common stock in connection with the initial public offering at the offering price of $9.00 per share.