Filing Details
- Accession Number:
- 0001209191-13-038815
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-01 19:16:32
- Reporting Period:
- 2013-07-30
- Filing Date:
- 2013-08-01
- Accepted Time:
- 2013-08-01 19:16:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1324466 | J Steven Mento | C/O Conatus Pharmaceuticals Inc. 4365 Executive Drive, Suite 200 San Diego CA 92121 | President, Ceo & Director | Yes | Yes | No | 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 | 2013-07-30 | 95,323 | $0.00 | 370,474 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2013-07-30 | 1,395 | $11.00 | 371,869 | No | 4 | J | Indirect | See footnote |
| Common Stock | Acquisiton | 2013-07-30 | 13,800 | $11.00 | 385,669 | 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
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2013-07-30 | 786,417 | $0.00 | 95,323 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect |
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.
- Held by family trusts of which Dr. Mento is a trustee.
- 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.
Billionaire Hedge Funds
