- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2013-08-01 19:18:10
- Reporting Period:
- Filing Date:
- Accepted Time:
- 2013-08-01 19:18:10
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|1383701||Conatus Pharmaceuticals Inc||CNAT||Pharmaceutical Preparations (2834)||203183915|
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1420095||Olivier Marc Perret||C/o Conatus Pharmaceuticals Inc. |
4365 Executive Drive, Suite 200
San Diego CA 92121
|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||1,258,730||$0.00||1,258,730||No||4||C||Indirect||See footnotes|
|Common Stock||Acquisiton||2013-07-30||46,675||$0.00||1,305,405||No||4||X||Indirect||See footnotes|
|Common Stock||Disposition||2013-07-30||352||$11.00||1,305,053||No||4||S||Indirect||See footnotes|
|Common Stock||Acquisiton||2013-07-30||16,742||$11.00||1,321,795||No||4||J||Indirect||See footnotes|
|Common Stock||Acquisiton||2013-07-30||165,525||$11.00||1,487,320||No||4||P||Indirect||See footnotes|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|Sec. Name||Sec. Type||Acquisiton - Disposition||Date||Amount||Price||Amount - 2||Price - 2|
|Common Stock||Series A Preferred Stock||Disposition||2013-07-30||6,666,668||$0.00||808,080||$0.00|
|Common Stock||Series B Preferred Stock||Disposition||2013-07-30||3,717,861||$0.00||450,649||$0.00|
|Common Stock||Warrants to Purchase Shares of Series A Preferred Stock||Disposition||2013-07-30||385,070||$0.00||46,675||$0.00|
|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|
- The outstanding shares of Preferred Stock of the Issuer automatically converted into the shares of Common Stock of the Issuer at the closing of the Issuer's initial public offering (the "IPO") at a conversion ratio of 1 share of Common Stock for every 8.25 shares of Preferred Stock, rounded down to the nearest whole number, for no additional consideration.
- The shares are held by Cooperative Gilde Healthcare II U.A.
- The manager of Cooperative Gilde Healthcare II U.A. is Gilde Healthcare II Management B.V., which is indirectly owned by three managing partners, Edwin de Graaf, Marc Olivier Perret and Martenmanshurk B.V. (of which Pieter van der Meer is the owner and manager), through a holding entity, Gilde Healthcare Holding B.V. Gilde Healthcare Holding B.V. is owned in equal thirds by the three managing partners. Each of Edwin de Graaf, Marc Olivier Perret and Pieter van der Meer share voting and dispositive power of the shares, and disclaim beneficial ownership of the shares except to the extent of their respective pecuniary interest therein.
- Upon the conversion of all outstanding shares of Preferred Stock of the Issuer in connection with the closing of the IPO, the warrants to purchase shares of Series A Preferred Stock were converted to warrants to purchase Common Stock with an exercise price of $0.0825 per share, at a ratio of 1 share of Common Stock for every 8.25 shares of Preferred Stock, rounded down to the nearest whole number, and were then net exercised based on the IPO price of $11.00 per share.
- The common stock was acquired upon conversion of a convertible promissory note exempt from the definition of a derivative security because the conversion price did not become fixed until automatic conversion at the time of the closing of the IPO.
- The warrants are held by Cooperative Gilde Healthcare II U.A.
- The shares subject to this option become exercisable as they vest. 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.