4//SEC Filing
Capnia, Inc. 4
Accession 0000899243-17-007375
$SLNOCIK 0001484565operating
Filed
Mar 12, 8:00 PM ET
Accepted
Mar 13, 7:17 PM ET
Size
7.4 KB
Accession
0000899243-17-007375
Insider Transaction Report
Form 4
Capnia, Inc.CAPN
Forward V Associates LLC
10% Owner
Transactions
- Award
Common Stock
2017-03-07+77,752→ 7,251,728 total(indirect: See footnote)
FORWARD VENTURES V LP
10% Owner
Transactions
- Award
Common Stock
2017-03-07+77,752→ 7,251,728 total(indirect: See footnote)
Footnotes (2)
- [F1]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.
- [F2]The shares are held directly by Forward Ventures V LP ("Forward V"). The Reporting Person is the sole general partner of Forward V, and may be deemed to beneficially own such shares. The Reporting Person holds voting and dispositive power with respect to the securities held by Forward V. Standish Fleming and Ivor Royston are the managing members of the Reporting Person and Stuart Collinson is the key voting member of the Reporting Person and each disclaim beneficial ownership of the securities held by Forward V except to the extent of any pecuniary interest therein.
Documents
Issuer
Capnia, Inc.
CIK 0001484565
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001484565
Filing Metadata
- Form type
- 4
- Filed
- Mar 12, 8:00 PM ET
- Accepted
- Mar 13, 7:17 PM ET
- Size
- 7.4 KB