Filing Details
- Accession Number:
- 0001225208-13-013889
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-04 17:32:04
- Reporting Period:
- 2013-05-31
- Filing Date:
- 2013-06-04
- Accepted Time:
- 2013-06-04 17:32:04
- 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 |
---|---|---|---|---|---|---|---|
1207703 | T Andrew Sheehan | 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 | 2013-05-31 | 801,952 | $1.86 | 4,785,597 | No | 4 | X | Indirect | By Ltd Partnership (SHV) |
Common Stock | Disposition | 2013-05-31 | 260,592 | $5.72 | 4,525,005 | No | 4 | S | Indirect | By Ltd Partnership (SHV) |
Common Stock | Acquisiton | 2013-05-31 | 14,691 | $1.86 | 79,831 | No | 4 | X | Indirect | By Trust |
Common Stock | Disposition | 2013-05-31 | 4,773 | $5.72 | 75,058 | 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 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 | 2013-05-31 | 801,952 | $0.00 | 801,952 | $1.86 |
Common Stock | Common Stock Warrant | Disposition | 2013-05-31 | 14,691 | $0.00 | 14,691 | $1.86 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2008-08-29 | 2013-08-29 | No | 4 | X | Indirect |
0 | 2008-08-29 | 2013-08-29 | No | 4 | X | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 3,960 | Indirect | By Ltd Partnership (SHAI) |
Common Stock | 10,028 | Indirect | By Ltd Partnership (SHQP) |
Footnotes
- 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.
- On May 31, 2013, the reporting person exercised a warrant to purchase shares of the issuer's common stock for $1.86 per share. In accordance with the terms of the warrant, the exercise price was paid on a net basis. The shares reported in column 4 represent the number of shares of common stock withheld by the issuer to pay the exercise price.
- 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.
- Shares held by Sutter Hill Entrepreneurs Fund (AI), L.P. The reporting person is a Managing Director of the General Partner of Sutter Hill Entrepreneurs Fund (AI), L.P. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- Shares held by Sutter Hill Entrepreneurs Fund (QP), L.P. The reporting person is a Managing Director of the General Partner of Sutter Hill Entrepreneurs Fund (QP), L.P. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.