Filing Details

Accession Number:
0001209191-13-038632
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-08-01 14:21:09
Reporting Period:
2013-07-30
Filing Date:
2013-08-01
Accepted Time:
2013-08-01 14:21:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1383701 Conatus Pharmaceuticals Inc CNAT Pharmaceutical Preparations (2834) 203183915
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1356950 Paul James Scopa C/O Mpm Asset Management
601 Gateway Blvd., Suite 350
South San Francisco CA 94080
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 2013-07-30 1,010,099 $0.00 1,010,099 No 4 C Indirect See Footnote
Common Stock Acquisiton 2013-07-30 16,716 $11.00 1,026,815 No 4 J Indirect See Footnote
Common Stock Acquisiton 2013-07-30 165,265 $11.00 1,192,080 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnote
No 4 J 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 Series B Convertible Preferred Stock Disposition 2013-07-30 8,333,334 $0.00 1,010,099 $0.00
Series B Preferred Stock Warrant to Purchase Series B Preferred Stock (Right to Buy) Disposition 2013-07-30 265,837 $0.00 265,837 $0.90
Common Stock Warrant to Purchase Common Stock (Right to Buy) Acquisiton 2013-07-30 32,220 $0.00 32,220 $7.43
Common Stock Stock Option (Right to Buy) Acquisiton 2013-07-30 30,000 $0.00 30,000 $11.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 2013-05-30 2018-05-30 No 4 C Indirect
32,220 2018-05-30 No 4 C Indirect
30,000 2023-07-29 No 4 A Direct
Footnotes
  1. The shares are held as follows: 473,353 by MPM BioVentures IV-QP, L.P. ("BV IV QP"), 18,236 by MPM BioVentures IV GmbH & Co. Beteiligungs KG ("BV IV KG"), 13,460 by MPM Asset Management Investors BV4 LLC ("AM BV4"), 486,164 by MPM BioVentures V, L.P. ("BV V") and 18,886 by MPM Asset Management Investors BV5 LLC ("AM BV5"). MPM BioVentures IV GP LLC and MPM BioVentures IV LLC ("BV LLC") are the direct and indirect general partners of BV IV QP and BV IV KG and BV LLC is the manager of AM BV4. MPM BioVentures V GP LLC and MPM BioVentures V LLC ("BV V LLC") are the direct and indirect general partners of BV V and BV V LLC is the manager of AM BV5. Ansbert Gadicke, Luke Evnin, Vaughn M. Kailian,James Paul Scopa, Todd Foley and John Vander Vort are the members of BV LLC and BV V LLC. The Reporting Person disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.
  2. Each share of Series B Preferred Stock automatically converted into 0.121212 of a share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering ("IPO"). The shares had no expiration date.
  3. Represent the conversion of outstanding promissory notes in the principal amount of $182,056.00, plus interest accrued at 6% per annum, which became convertible at $11.00 per share, and simultaneously automatically converted into shares of the Issuer's Common Stock, upon the closing of the IPO. The principal amount of the notes were held as follows: $85,315.15 by BV IV QP, $3,286.84 by BV IV KG, $2,426.01 by AM BV4, $87,623.98 by BV V and $3,404.02 by AM BV5 and the principal and interest converted into the following shares of Common Stock: 7,833 by BV IV QP, 302 by BV IV KG, 223 by AM BV4, 8,045 by BV V and 313 by AM BV5.
  4. The shares were acquired as follows: 7,833 by BV IV QP, 302 by BV IV KG, 223 by AM BV4, 8,045 by BV V and 313 by AM BV5.
  5. The shares are held as follows: 481,186 by BV IV QP, 18,538 by BV IV KG, 13,683 by AM BV4, 494,209 by BV V and 19,199 by AM BV5. The Reporting Person disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.
  6. The shares were purchased as follows: 77,447 by BV IV QP, 2,983 by BV IV KG, 2,202 by AM BV4, 79,543 by BV V and 3,090 by AM BV5.
  7. The shares are held as follows: 558,633 by BV IV QP, 21,521 by BV IV KG, 15,885 by AM BV4, 573,752 by BV V and 22,289 by AM BV5. The Reporting Person disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.
  8. Immediately.
  9. Not applicable.
  10. The shares of Series B Preferred Stock were held as follows: 3,905,170 by BV IV QP, 150,450 by BV IV KG, 111,047 by AM BV4, 4,010,853 by BV V and 155,814 by AM BV5.
  11. Represents the automatic conversion of warrants to purchase Series B Preferred Stock into warrants to purchase Common Stock on a 1-for-8.25 basis upon the closing of the IPO.
  12. The warrants were held as follows: 124,577 by BV IV QP, 4,799 by BV IV KG, 3,542 by AM BV4, 127,948 by BV V and 4,971 by AM BV5.
  13. The warrants are held as follows: 15,100 by BV IV QP, 581 by BV IV KG, 429 by AM BV4, 15,508 by BV V and 602 by AM BV5. The Reporting Person disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.
  14. One-third of the total number of shares subject to this option vests and becomes exercisable on each anniversary of the grant date, so that the entire number of shares subject to this option becomes fully vested and exercisable on the third anniversary of the grant date.