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Filing Details

Accession Number:
0001225208-14-021202
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-03 19:09:13
Reporting Period:
2014-10-01
Filing Date:
2014-10-03
Accepted Time:
2014-10-03 19:09:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1183765 Threshold Pharmaceuticals Inc THLD Pharmaceutical Preparations (2834) 943409596
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1339801 E David Sweet 755 Page Mill Road, Suite A-200
Palo Alto CA 94304-1005
No 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 Acquisiton 2014-10-01 417,050 $2.05 4,942,055 No 4 X Indirect By Ltd Partnership (SHV)
Common Stock Disposition 2014-10-01 226,657 $3.77 4,715,398 No 4 S Indirect By Ltd Partnership (SHV)
Common Stock Acquisiton 2014-10-01 3,798 $2.05 41,859 No 4 X Indirect By Profit Sharing Plan Trust
Common Stock Disposition 2014-10-01 2,064 $3.77 39,795 No 4 S Indirect By Profit Sharing Plan Trust
Common Stock Acquisiton 2014-10-01 797 $2.05 11,745 No 4 X Indirect By Trust
Common Stock Disposition 2014-10-01 433 $3.77 11,312 No 4 S Indirect By Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 X Indirect By Ltd Partnership (SHV)
No 4 S Indirect By Ltd Partnership (SHV)
No 4 X Indirect By Profit Sharing Plan Trust
No 4 S Indirect By Profit Sharing Plan Trust
No 4 X Indirect By Trust
No 4 S Indirect By Trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Common Stock Warrant Disposition 2014-10-01 417,050 $0.00 417,050 $2.05
Common Stock Common Stock Warrant Disposition 2014-10-01 3,798 $0.00 3,798 $2.05
Common Stock Common Stock Warrant Disposition 2014-10-01 797 $0.00 797 $2.05
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-10-05 2014-10-05 No 4 X Indirect
0 2009-10-05 2014-10-05 No 4 X Indirect
0 2009-10-05 2014-10-05 No 4 X Indirect
Footnotes
  1. Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a Managing Director of the General Partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
  2. On October 1, 2014, the reporting person exercised a warrant to purchase shares of the issuer's common stock for $2.05 per share. In accordance with the terms of the warrant, the exercise price was paid on a net basis. The shares disposed of in column 4 represent the number of shares of common stock withheld by the issuer to pay the exercise price.
  3. Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
  4. Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.