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Filing Details

Accession Number:: 0001209191-13-038810
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-08-01 19:11:49
Reporting Period:: 2013-07-30

Filing Date:: 2013-08-01
Accepted Time:: 2013-08-01 19:11:49
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
1024004	F David Hale	C/O Conatus Pharmaceuticals Inc. 4365 Executive Drive, Suite 200 San Diego CA 92121		Yes	No	No	No

Reported Non-Derivative Transactions

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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	19,679	$0.00	140,890	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2013-07-30	261	$11.00	141,151	No	4	J	Indirect	See footnote
Common Stock	Acquisiton	2013-07-30	2,588	$11.00	143,739	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

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Preferred Stock	Disposition	2013-07-30	162,356	$0.00	19,679	$0.00
Common Stock	Stock Option (Right to Buy)	Acquisiton	2013-07-30	50,000	$0.00	50,000	$11.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect
50,000		2023-07-29	No	4	A	Direct

Footnotes

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.
Represents 128,769 shares held by Hale BioPharma Ventures, LLC and 12,121 shares held by Hale Trading Company, LP. Mr. Hale holds sole voting and investment power with respect to the shares held by these entities.
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.
Represents 129,030 shares held by Hale BioPharma Ventures, LLC and 12,121 shares held by Hale Trading Company, LP. Mr. Hale holds sole voting and investment power with respect to the shares held by these entities.
Represents 131,618 shares held by Hale BioPharma Ventures, LLC and 12,121 shares held by Hale Trading Company, LP. Mr. Hale holds sole voting and investment power with respect to the shares held by these entities.
Held by Hale BioPharma Ventures, LLC of which Mr. Hale serves as CEO. Mr. Hale holds sole voting and investment power with respect to the securities held by that entity.
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.