Home > Insider Trading > Filing (0000899243-17-007147)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1484565	Capnia Inc.	CAPN	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1120443	Tp Management Vii Llc	100 Shoreline Hwy, Suite 282, Bldg B Mill Valley CA 94941	No	No	Yes	No
1120461	Technology Partners Fund Vii Lp	100 Shoreline Hwy, Suite 282, Bldg B Mill Valley CA 94941	No	No	Yes	No
1133704	Technology Partners Affiliates Vii Lp	100 Shoreline Hwy, Suite 282, Bldg B Mill Valley CA 94941	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	2017-03-07	77,752	$0.00	6,904,925	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote

Footnotes

The shares were purchased by the reporting person in a private transaction between the reporting person and a former shareholder of Essentialis in exchange for cash to be used to satisfy certain withholding obligations of the shareholder, based on the closing price per share of Issuer common stock on March 7, 2017 of $0.68.
The shares are held directly by Technology Partners Fund VII, L.P. ("Technology Partners VII"). The Reporting Person is the sole general partner of Technology Partners VII, and may be deemed to beneficially own such shares. The Reporting Person holds voting and dispositive power with respect to the securities held by Technology Partners VII. James Glasheen, Sheila Mutter, Roger Quy, Ira Ehrenpreis, and Ted Ardell, and certain other individuals are members of the Reporting Person and disclaim beneficial ownership of the securities held by Technology Partners VII except to the extent of any pecuniary interest therein.