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
- 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 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.
- Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
- 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.